Wells Fargo

Job Category:

Auditing

Location:

West Des Moines, Iowa

Country:

United States

Postal Code:

50061

Approximate Salary:

Not Specified

Position Type:

Full Time

Phone:

415) 820-7800

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Senior Lead Auditor - Regulatory Reporting - Finance and Corporate Activities

Wells Fargo - West Des Moines, Iowa

Posted: 09/22/2018

Job Description

At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Audit Services conducts audits and reports the results of our work to the Audit & Examinations Committee of the Board of Directors. We provide independent, objective assurance and consulting services delivered through a highly competent and diverse team. As a business partner, Audit helps the Company accomplish its objectives by bringing a systematic disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes.

The Finance & Corporate Activities (FCA) audit team has an opening for a Senior Lead Auditor with business line risk management and/or audit experience in Regulatory Reporting (e.g. FR Y9-C, FFIEC 031/041, FFIEC 009, etc.). Experience in other Corporate and Accounting/Finance related businesses/activities (e.g. SEC Reporting) is also helpful.

Specific Responsibilities:

  • Utilize technical understanding of banking Regulatory Reporting processes and controls to provide input, leadership, and influence over our audit coverage over Regulatory Reporting compliance including reports such as the FR Y-9C, call reports, FFIEC 009 etc.
  • Maintain current knowledge of Regulatory Reporting, specifically developments and key emerging risks within the financial services/banking industry.
  • Lead execution of the audit process primarily as auditor in-charge and may participate in audit testing to provide subject matter knowledge and skills.
  • Identify and assess key risks and controls and develop effective test plans for engagements as assigned with limited guidance.
  • Exhibit appropriate judgment regarding issue notification, prepares draft findings to line of business management, and draft final audit reports for review by the Engagement Supervisor and Senior Audit Manager.
  • Demonstrate depth and breadth of knowledge of business lines including operational, financial, regulatory, and technology impact.
  • Utilize knowledge that expands across multiple businesses and in subject matter areas.
  • Lead projects ranging in size and complexity based upon level of experience.
  • Evaluate and provide appropriate solutions for problems.
  • Demonstrate professional skepticism.
  • Present audit results in an objective and unbiased manner.
  • Write opinions reflecting relevant facts that lead to logical conclusions.
  • Escalate significant risk exposures to appropriate levels of management.
Required Qualifications

  • 4+ years of experience in one or a combination of the following: audit, control testing, control and risk identification, or audit analysis
Desired Qualifications

  • Audit experience at a financial institution or accounting firm
  • A BS/BA degree or higher
  • Ability to obtain or currently hold one or more of the following certifications: CIA, CISA, CPA, CAMS, or CRCM
  • Solid knowledge and understanding of audit methodologies and processes
  • Knowledge and understanding of regulatory reporting: Federal Reserve, OCC, and SEC
  • Excellent verbal, written, and interpersonal communication skills
  • 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
  • Good analytical skills with high attention to detail and accuracy
Other Desired Qualifications
  • Experience leading and providing feedback to staff on audit projects or engagements. Similar to Auditor in Charge responsibilities.
  • Extensive technical knowledge of Regulatory Reporting rules and instructions for all regulatory reports with an emphasis on the FR Y-9C, call reports and FFIEC 009
  • Regulatory Reporting audit experience (audit experience in internal audit and/or external audit)
Job Expectations

  • Ability to travel up to 10% of the time
Street Address

NC-Charlotte: 301 S College St - Charlotte, NC
CA-SF-Financial District: 420 Montgomery - San Francisco, CA
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
IA-West Des Moines: 1776 Westlakes Pkwy - West Des Moines, IA

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.

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