Lead Audit Manager – Conduct and Complaints Management

Wells Fargo
Published
June 14, 2022
Location
Denver, CO
Category
Job Type

Description

About this role:

Wells Fargo is seeking a Lead Audit Manager on the Conduct and Complaints Management (CCM) team within the Chief Operating Office (COO) Audit Team. In this role, you will lead audit coverage for frontline conduct management and complaints management , including sales practices, ethics, allegations, insider threat and complaints.

In this role, you will:

  • Lead execution of the integrated audit process
  • Participate in audits in accordance with Wells Fargo Audit Services policy
  • Demonstrate depth and breadth of knowledge and understanding across multiple businesses or develops knowledge in a critical subject matter area
  • Demonstrate comprehensive knowledge and understanding of the financial, operational, technical, and regulatory environment across multiple businesses or develop excellent subject matter knowledge in critical areas of the business
  • Write opinions reflecting relevant facts that lead to logical conclusions
  • Escalate significant risks and loss exposures to appropriate levels of management
  • Ensure documentation and reporting are ready for review by managers and more experienced managers
  • Demonstrate credible challenge
  • Evaluate and provide appropriate solutions for complex problems
  • Lead multiple concurrent projects that are generally moderate to large in size and moderate to high in complexity
  • Identify and assess key risks and controls and develop effective test plans for engagements as assigned with limited guidance
  • Present audit results in an objective and unbiased manner
  • Exhibit appropriate judgment regarding issue notification, issue draft findings to client management, and draft final audit reports
  • Develop and maintain excellent business relationships within Internal Audit and with teams companywide

Required Qualifications:

  • 5+ 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
  • Strong understanding of financial regulatory environment
  • Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
  • Experience leading and providing feedback to staff on audit projects or engagements
  • Experience with Issue Validation and Remediation
  • Excellent verbal, written, and interpersonal communication skills
  • Prior experience in risk transformation and/or enterprise risk management
  • Exposure or experience to multiple risk disciplines.

Job Expectations:

  • The ability to travel up to 10% of the time

Locations:

  • West Des Moines, IA; Charlotte, NC; Chandler, AZ; Minneapolis, MN; Denver, CO, San Antonio, TX

Pay Range

$111,100.00 - $197,500.00 Annual

Benefits

  • Information about Wells Fargo's employee benefits

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, or status as a protected veteran.

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