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Audit Manager - Compliance Subject Matter Specialist - Military veterans preferred

Company name
Wells Fargo

Phoenix, AZ

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Job Description Wells Fargo Audit Services (WFAS) is a provider of independent, objective and advisory services delivered through a highly professional and diverse team. The primary function of WFAS is to determine if the company\u2019s risk management, systems of control, and governance processes are adequate and functioning as intended. As a business partner, WFAS makes significant contributions to protecting the value of Wells Fargo\u2019s corporate assets. The Audit department is seeking a highly qualified compliance Audit Manager who can demonstrate regulatory compliance expertise within both consumer and/or wholesale lines of business. The Audit Manager demonstrates depth and breadth of technological, operational, financial, and regulatory understanding across multiple business lines and further develops subject matter expertise in a critical area. On a day-to-day basis, the Audit Manager will be responsible for: supervising multiple concurrent regulatory compliance engagements, projects, and/or issue/MRA validations; assisting in the identification and assessment of key risks and controls within the enterprise; drafting audit procedures, audit reports, and/or other applicable compliance-related deliverables; coordinating with business partners and other line of business audit teams, including communication with all levels of the enterprise e.g. testing resources through senior management; and coaching and mentoring staff, including limited administrative managerial duties under the direction and oversight of the Senior Audit Manager. The Audit Manager may also provide compliance support and guidance to other line of business audit teams, and will require having a background in: identifying risks inherent in regulatory testing; assessing and applying corporate regulatory compliance policies and procedures; and keeping abreast of regulatory changes and issues affecting compliance audit activities. The Audit Manager may also include liaising and responding to second line of defense groups that support the regulatory compliance management program for Wells Fargo, such as Regulatory Compliance Risk Management (RCRM) as circumstances dictate. Required Qualifications
7 years of experience in one or a combination of the following: audit, control testing, control and risk identification, or audit analysis
2 years of leadership experience
3 years of compliance experience
Desired Qualifications
Audit experience at a large financial institution or auditing company.
A BS/BA degree or higher in accounting, finance, or business administration
Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
Leadership experience for professional auditors, risk management, or project leadership professionals
Solid knowledge and understanding of audit methodologies and tools that support audit processes
Experience creating, executing, and documenting compliance testing
Compliance experience
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Strong organizational, multi-tasking, and prioritizing skills
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
Solid problem solving skills
Other Desired Qualifications - Prior banking regulatory experience, including prior experience as a bank compliance manager/officer, compliance auditor, or regulatory examiner.- Prior experience in researching, interpreting, or applying deposit, lending, or enterprise-wide regulatory compliance requirements; implementing or reviewing compliance risk assessment and/or compliance process initiatives; reviewing compliance programs, and identifying/evaluating compliance risks and related mitigating controls, including opportunities for improvement; auditing regulatory compliance monitoring and/or training programs;- Demonstrated knowledge of Corporate Compliance policies and procedures, including review and suggesting updates to applicable guidance and/or operations. - Knowledge of operational risk management concepts and enterprise tools (CRAS , SHRP, ORIS).- Excellent reputation for partnering with stakeholders and achieving results across multi-functional teams. Job Expectations Ability to travel up to 25% of the time Disclaimer All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.Relevant military experience is considered for veterans and transitioning service men and women.Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Company info

Wells Fargo
Website :

Company Profile
Wells Fargo & Company provides retail, commercial, and corporate banking services to individuals, businesses, and institutions. The company’s Community Banking segment offers checking and market rate accounts, savings and time deposits, individual retirement accounts, and remittances; and lines of credit, auto floor plan lines, equity lines and loans, equipment and transportation loans, education and residential mortgage loans, and credit and debit cards. This segment also provides equipment leases, real estate and other commercial financing, small business administration financing, venture capital financing, cash management, payroll services, retirement plans, health savings accounts, and merchant payment processing and private label financing solutions, as well as purchases retail installment contracts. Its Wholesale Banking segment offers commercial loans and lines of credit, letters of credit, asset-based lending, equipment leasing, international trade facilities, trade financing, collection, foreign exchange, treasury management, investment management, institutional fixed-income sales, interest rate, commodity and equity risk management, insurance, corporate trust fiduciary and agency, and investment banking services, as well as online/electronic products. This segment also provides construction, and land acquisition and development loans; secured and unsecured lines of credit; interim financing arrangements; rehabilitation loans; affordable housing loans and letters of credit; loans for securitization; commercial real estate loan servicing; and real estate and mortgage brokerage services. The company’s Wealth, Brokerage, and Retirement segment offers financial advisory, wealth management, brokerage, retirement, trust, and reinsurance services. As of March 7, 2014, it operated through 9,000 locations and 12,000 ATMs, and offices in 36 countries, as well as through The Company was founded in 1852 and is headquartered in San Francisco, California.

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