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Audit Management Senior Manager - Compliance Audit Team

Company: Wells Fargo
Location: Philadelphia
Posted on: August 7, 2022

Job Description:

About this role: Wells Fargo is seeking an Audit Management Senior Manager with a strong understanding of and prior experience auditing Corporate and Investment Banking Compliance , including International Compliance. In this role, you will:

  • Manage a team of audit staff responsible for a defined segment of the Audit Plan
  • Be responsible for resource management globally and assisting broader team in overall audit plan completion
  • Assess associated risks and controls and complete engagements within their segment of the audit plan
  • Plan and organize work in an annual cycle, not just project cycle
  • Ensure audit engagements are risk-based, and executed according to Internal Audit policies and guidance
  • Build and maintain a proficient team of auditors
  • Provide timely feedback, coaching and monitoring of development plans
  • Develop and maintain excellent business relationships with leadership and other stakeholders, such as regulatory agencies
  • Manage allocation of people and financial resources for Audit
  • Develop and guide a culture of talent development to meet business objectives and strategy May be considered for a discretionary bonus, Restricted Share Rights, or other long-term incentive awards. Required Qualifications, US:
    • 6+ years of Audit, Risk experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
    • 3+ years of management experienceDesired Qualifications:
      • Experience at a financial institution or accounting firm.
      • A BS/BA degree or higher.
      • Solid knowledge and understanding of audit or risk methodologies and supporting tools.
      • Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation.
      • Excellent verbal, written, and interpersonal communication skills.
      • S trong knowledge and demonstrated experience auditing Commercial and Corporate & Investment Banking bus inesses and operations as well as CIB compliance risk
      • Prior working experience with key regulatory agencies for large banking institutions in particular FINRA, the SEC, and the CFTC.
      • Job Expectations:
        • Ability to travel up to 25% of time.Pay Range$144,400.00 - $300,000.00 AnnualBenefits
          • Information about Wells Fargo's employee benefits 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, or status as a protected veteran.

Keywords: Wells Fargo, Philadelphia , Audit Management Senior Manager - Compliance Audit Team, Hospitality & Tourism , Philadelphia, Pennsylvania

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