Senior Auditor - Wealth and Investment Management

Wells Fargo is seeking a Senior Auditor on the Wealth and Investment Management (WIM) Audit Team providing coverage for Banking, Lending & Trust, Wells Fargo Advisors, Wells Fargo Investment Institute, Wells Fargo Private Bank, WIM Advice and Planning, WIM Control, WIM Marketing, and WIM Operations. Learn more about our career areas and lines of business at wellsfargojobs.com.

In This Role, You Will

Perform audit testing components of assigned audits within multiple segments of the Audit PlanPlan and execute independent audit testing and ensure that they are timely and accurateIdentify and assess key risks and controlsExecute and document work in accordance with Wells Fargo Audit Services policyIdentify and develop compensating controls that mitigate audit findings and make recommendations to managementInform manager of situational issues that might compromise objectivity or independenceDesign and execute tests to verify control effectivenessDocument work papers according to the standards of the Internal Audit policy and guidanceDemonstrate professional skepticism while performing major components of auditsLead smaller scale audits or projectsDevelop ways to improve existing audit practicesDevelop effective test plans for engagements as assigned with limited guidanceParticipate in projects as directedDevelop business partnerships within Internal Audit and with teams companywide through professional communication and clear audit deliverables

Required Qualifications, US

4+ years of Audit, Risk experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.

Desired Qualifications

Experience at a financial institution or accounting firmA BS/BA degree or higherSolid knowledge and understanding of audit or risk methodologies and supporting toolsExcellent verbal, written, and interpersonal communication skills. .Ability to execute in a fast paced, high demand, environment while balancing multiple priorities.Good analytical skills with high attention to detail and accuracy. Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designationExperience in portfolio management, investment strategy, broker/dealer operations, wealth management, fiduciary and trust services.

Job Expectations

Ability to travel up to 10% of the time.This position is not eligible for Visa sponsorship

Position is subject to Wells Fargo Advisors Regulatory Compliance Supervision requirements.

Posting End Date

18 Apr 2024

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.

Reference Number

R-355976-1