About this role:

Wells Fargo is seeking a Senior Independent Testing Specialist in Independent Testing & Validation (IT&V) as part of Corporate Risk. Learn more about the career areas and lines of business at wellsfargojobs.com.

The Independent Testing and Validation (IT&V) team is responsible for the development and design of methodologies and standards for review activities across the Enterprise in alignment with the Risk Management Framework, and ensuring effective and appropriate testing, validation, and documentation of review activities for risk programs, risks, and controls according to standards and other applicable policies. 

The Technology Issue Validation (IV) team within IT&V is responsible for performing validation testing of Technology Issue remediation activity executed by the First Line of Defense. The Technology Issue Validation Independent Testing team is responsible for performing validation activities that independently evaluate the adequacy, comprehensiveness and effectiveness of corrective actions taken to address issues or remediation activities. The Senior Independent Testing Specialist will be responsible for completing timely and high-quality validation activities, as well as, identifying issues, validation concerns, and observations, recommending corrective actions, presenting results of validation reviews, interfacing with business partners, and performing report preparation activities. 

In this role, you will:

• Execute or lead issue validation and testing engagements for moderate to high-risk areas with high quality according to IT&V and Issue Management standards with subject matter expertise in technology, information security, and data management compliance and operational risks.
• Partner with business contacts to understand the environment, processes, and related initiatives to develop scope/approach for testing and validation; develop appropriate and complementary testing procedures; and evaluate processes/controls implemented ensuring risks were sufficiently mitigated and root causes addressed.
• Ensure effective and appropriate testing, validation, and documentation of review activities for risk programs, risks, and controls according to standards and other applicable policies within Independent Testing & Validation.
• Lead process and issue validation walkthroughs and document narratives including key risks, controls, systems and stakeholders for engagement manager review.
• Complete assigned issue validation and testing activities exercising effective quality review behaviors and seeking guidance through research and consultation with engagement management.
• Present recommendations for resolving more complex situations and exercise independent judgment while developing expertise in risk management framework and the risk and control environment.
• Follow through on reporting, escalation of issues/challenges, and resolution of open testing/validation items.
• Operate in a matrixed environment and communicate emerging risks to management within Independent Testing.
• Collaborate and consult with colleagues, internal partners, management, and lines of business regarding risk management.
• Act as a change agent for continual improvement of the control environment.

Required Qualifications:

• 4 years of Independent Testing experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Experience at Big/Four/super regional public accounting firm with experience in technology ontrols, business process, regulatory, or compliance audits and/or advisory/consulting services

• Knowledge and understanding of audit methodologies and tools that support audit processes.

• Experience within the financial services industry, especially in compliance, risk management, or internal audit
• Experience with technology, data, and program level control testing and issue validation, including performing and reviewing the work of less experienced team members.
• Strong testing/audit background, including preparing workpaper documentation, leading walkthroughs, utilizing sampling guidance, socializing issues, preparing reports, etc.
• Experience developing and reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues.
• Knowledge and understanding of Technology and Information Security Frameworks and standards (COBIT, COSO, FFIEC, NIST, ISO)
• Ability to lead and execute on complex projects, balancing short-term and long-term priorities
• Ability to perform assigned tasks independently from start to finish within the allotted time.
• Ability to take on a high level of responsibility, initiative, and accountability.
• Intermediate Microsoft Office skills (Word, Excel, Outlook, and PowerPoint)
• Demonstrated success with influencing business units to identify, formulate and implement processes/procedures to mitigate risk.
• Demonstrated negotiation skills, especially with difficult topics when partnering with lines of business and technology. This includes the willingness and ability to question decisions, understand direction and escalate issues, where necessary.

Prefer one or more of the following certifications:

• Certified Information Systems Auditor (CISA)
• Certified Internal Auditor (CIA)
• Certified Public Accountant (CPA)
• Certified Regulatory Compliance Manager (CRCM)
• Certified Risk and Compliance Management Professional (CRCMP)
• Certified Risk Professional Program (CRP)
• Certified Information Systems Security Professional (CISSP)
• Certified in Risk and Information Systems Control (CRISC)

Job Expectations:

• Charlotte, NC
• Irving, TX
• West Des Moines, IA
• Minneapolis, MN
• Tempe, AZ
• St Louis, MO

Required location(s) listed above. Relocation assistance is not available for this position.

This position offers a hybrid work schedule.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.