Senior Audit Manager / Financial Crimes Audit Team (FiCAT) - BSA/AML

Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as “Personal Cell” or “Cellular” in the contact information of your application.

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

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

Internal Audit is a provider of independent, objective assurance 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 Financial Crimes Audit Team (FiCAT) performs horizontal audit coverage of financial crimes risk across Wells Fargo lines of business. FiCAT performs independent testing for the Bank Secrecy Act, OFAC and Anti-Money Laundering compliance. FiCAT oversees, manages, and executes BSA/AML/OFAC related audits across Wells Fargo lines of business, and evaluates the system of internal controls and processes related to financial crimes. FiCAT is responsible for testing governance and coordinating first line audit coverage of Anti-Bribery and Corruption regulations.

FiCAT is broken out in teams by portfolio, which includes Financial Crimes Risk Management (FCRM), Commercial Banking, Corporate & Investment Banking - Domestic, International, Wealth Investment Management, Consumer Banking/Payments, Virtual Solutions and Innovation/Staff Support. This SAM role will be responsible for the Commercial Banking portfolio.

Specific Duties:
The Senior Audit Manager supervises integrated audit projects and provides guidance and oversight for the teams and engagements and may act as a subject matter expert in a consulting capacity. Senior Audit Managers demonstrate depth and breadth of knowledge that includes technology, operational, financial, and regulatory understanding across multiple businesses and may develop knowledge in a critical subject matter area.
Responsibilities include:

• Manages a team of audit staff responsible for a defined segment of the Audit Plan.
• Accountable for assessing associated risks and controls and completing engagements within their segment of the audit plan.
• Responsible for resource management and assisting broader team in overall audit plan completion.
• Provides timely feedback, coaching, and monitoring of development plans.
• Builds and maintains a proficient team of auditors.
• Develops and maintains strong business relationships with leadership across WF and other stakeholders, such as regulatory agencies.
• Plans and organizes work in an annual cycle, not just project cycle.
• Ensures audit engagements are risk-based, and executed according to Audit policies and guidance.

**Due to high volumes, this position may close to applicants earlier than anticipated**

As an Employee Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically, you will:

• Lead your team with integrity and create an environment where your employees feel included, valued, and supported to do work that energizes them.
• Accomplish management responsibilities which include sourcing and hiring talented employees, providing ongoing coaching and feedback, recognizing and developing employees, identifying and managing risks, and completing daily management tasks.

• 8+ years of experience in one or a combination of the following audit or risk functions: leading teams covering risk identification, mitigation and management (includes audit, legal, operational risk, compliance risk, credit risk, market risk, technology risk, or the management of a process or business with accountability for risk.)
• 2+ years of leadership experience

• Experience at a financial institution or accounting firm
• A BS/BA degree or higher
• Leadership experience
• Solid knowledge and understanding of audit or risk methodologies and supporting tools
• Strong understanding of financial regulatory environment
• 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, 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

• 6+ years of financial crimes experience, including diverse BSA/AML and Sanctions experience across the various areas of an enterprise-wide BSA/AML and Sanctions program
• Preferred experience with innovation, data analytics, automation, or continuous auditing
• Previous experience engaging, collaborating, and influencing with senior leaders and line of business staff
• Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment
• Leadership experience for professional auditors, risk management, or project leadership professionals
• Public accounting experience preferred
• Risk and regulatory compliance experience preferred
• Ability to interact with Audit management and team members, business partners and regulators successfully
• Experience developing people and building the talent pipeline in a growing and changing environment
• Demonstrated ability to influence positive changes to the risk and control environment in a large bank, offering credible challenge to senior and executive leaders
• Demonstrates an impact on organizational policies, procedures, and work-flows for better efficiency and effectiveness
• Demonstrates the ability to oversee high-quality audit work that has been leveraged by banking regulators

• Ability to travel up to 15% of the time

NC-Charlotte: 301 S College St - Charlotte, NC
NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
AZ-Chandler: 2600 S Price Rd - Chandler, AZ
TX-Addison: 5080 Spectrum Dr - Addison, TX
NY-New York: 150 E 42nd St - New York, NY

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.

Benefits

Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.