Senior Independent testing Specialist - Control Testing, SOX/Compliance Testing

About this role:

Wells Fargo is seeking a Senior Independent Testing Specialist.

In this role, you will:

• Lead or participate in moderate to high risk or complex review activities in a matrixed environment and communicate emerging risks to management within Independent Testing.
• Contribute to large scale planning related to Independent Testing deliverables.
• Review and research moderately complex potential corrective actions, and follow through on reporting, escalation, and resolution.
• Ensure effective and appropriate testing, validation, and documentation of review activities for risk programs and controls according to standards and other applicable policies.
• Resolve moderately complex issues and lead team to meet Independent Testing deliverables while leveraging solid understanding of risk management framework and the risk and control environment.
• Collaborate and consult with colleagues, internal partners, management and lines of business regarding risk management.

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:

• Execute review activities in an effective manner, including leading high risk and/or complex operational process review in a matrixed environment, and communicates identified issues/findings to management and other interested parties.
• Complete review activities on an accelerated schedule, raising schedule delays as needed while looking for opportunities to remediate schedule issues.
• Lead and supports efforts to challenge risks in processes and evaluate and/or test controls designed to mitigate those risks, including evaluation of control design and operating effectiveness, if applicable.
• Escalate any potential issues discovered during the completion of review activities. Identifies potential corrective actions and follows through on reporting, escalation, and resolution.
• Complete all testing and documentation under limited supervision and appropriately retains all work papers (testing schedule, templates, work-papers, deferrals, deviations, etc.).
• Provide consultation and subject matter expertise including evaluating severity of control deficiencies and related remediation efforts, if applicable.
• Document test results and any issues identified while also providing recommendations to management, including identifying compensating controls and residual risk to issues identified.
• Executing the testing of design and performance for RCSA based controls.
• Build relationships and collaborates with key stakeholders
• Proactively engaging business partners to kick-off testing and lead ongoing meetings with moderate supervision.
• Proactively communicating issues to stakeholders.
• Developing clear and concise reporting to be shared with IT&V management and Front-Line Units.
• Providing Credible Challenge to the First Line Units as needed.
• Building relationships and collaborating with key stakeholders in the applicable line of business.
• Knowledge and understanding of financial services industry: compliance, risk management, or audit operations.
• Specialized knowledge or prior control testing or review experience.
• Experience reviewing testing strategies and methodologies evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifying issues resulting from internal and/or external compliance examinations.
• Experience testing policy, procedures, control and business process testing.
• Experience creating, executing, and documenting compliance, control, and business process testing.
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint).
• Ability to take on a high level of responsibility, initiative, and accountability.
• Ability to prepare reports and present to executives.

Job Expectations:

• University degree in Business or related discipline.
• Total 4+ years of relevant experience in risk management (includes control testing, issue identification and validation, compliance, financial crimes, operational risk, internal audit, business process management).
• Shift Timings: 1:30 PM to 10:30 PM

Posting End Date:

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.