Wells Fargo is seeking a Senior Auditor on the Wealth and Investment Management (WIM) Audit Team providing coverage for Banking, Lending & Trust, Wells Fargo Advisors, Wells Fargo Investment Institute, Wells Fargo Private Bank, WIM Advice and Planning, WIM Control, WIM Marketing, and WIM Operations. Learn more about our career areas and lines of business at wellsfargojobs.com.
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, US:
- 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:
- 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
- Excellent verbal, written, and interpersonal communication skills. .
- Ability to execute in a fast paced, high demand, environment while balancing multiple priorities.
- Good analytical skills with high attention to detail and accuracy.
- Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
- Experience in portfolio management, investment strategy, broker/dealer operations, wealth management, fiduciary and trust services.
Job Expectations:
- Ability to travel up to 10% of the time.
- This position is not eligible for Visa sponsorship
- Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
Posting End Date:
21 Apr 2025
*Job posting may come down early due to volume of applicants.
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, status as a protected veteran, or any other legally protected characteristic.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy 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.
Top Skills
What We Do
Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with approximately $1.9 trillion in assets. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, investment and mortgage products and services, as well as consumer and commercial finance, through more than 7,300 locations, 12,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in over 40 countries and territories to support customers who conduct business in the global economy. With approximately 250,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 41 on Fortune’s 2022 rankings of America’s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.
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. © 2016 Wells Fargo Bank, N.A. All rights reserved. Member FDIC.
Why Work With Us
We're known for our “Well Life” approach to supporting employees’ career aspirations, work-life balance, and mental and physical health. We ranked #2 on the 2023 LinkedIn Top Companies list – and #1 among financial services companies – as the best workplace “to grow your career” in the U.S.
Gallery
