17 Issue Management Jobs

About this role:

Wells Fargo is seeking a Senior Auditor Senior AVP, Chief Administrative Office (Internal Audit)

In this role, you will:

• Perform audit testing components of assigned audits within multiple segments of the Audit Plan
• Plan and execute independent audit testing and ensure that they are timely and accurate
• Identify and assess key risks and controls
• Execute and document work in accordance with Wells Fargo Audit Services policy
• Identify and develop compensating controls that mitigate audit findings and make recommendations to management
• Inform manager of situational issues that might compromise objectivity or independence
• Design and execute tests to verify control effectiveness
• Document work papers according to the standards of the Internal Audit policy and guidance
• Demonstrate professional skepticism while performing major components of audits
• Lead smaller scale audits or projects
• Develop ways to improve existing audit practices
• Develop effective test plans for engagements as assigned with limited guidance
• Participate in projects as directed
• Develop business partnerships within Internal Audit and with teams companywide through professional communication and clear audit deliverables

Required Qualifications:

• 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:

• Strong Audit, Risk experience, or other relevant experience
• Experience at a financial institution or accounting firm
• Solid knowledge and understanding of audit or risk methodologies and supporting tools
• CA or MBA, with 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
• Strong organizational, multitasking, problem solving, and prioritization skills
• Good analytical skills with high attention to detail and accuracy
• Experience with risk identification and assessment and/or control evaluation and testing
• Experience engaging with financial regulators in EMEA and APAC

Job Expectations:

• Support IAs emerging risk identification/monitoring by partnering with the IA innovation team and identifying/implementing requirements to build out data analytics capabilities for identifying/monitoring emerging risks
• Support the Reporting team with recurring activities that feed monthly and quarterly executive and committee reporting, including reconciliation of month-end issue management data files against enterprise systems of record, validation of audit and issue listings in report appendices to data support files, and review of issue memos for failed validations to summarize root cause of failure.
• Support the broader Regulatory Engagement team, including attending regulator meetings, communicating with regulators, and coordinating regulatory responses in collaboration with US based peers
• Support budgeting processes, including tracking accruals for co-source budgeting
• Perform evaluation and testing of Audit front-line controls in accordance with defined controls testing schedule, as needed
• Engage with international partners to manage local Audit real estate portfolio relative to headcount, as needed
• Ability to travel up to 10% of the time (If required)