Senior Lead Auditor

• About Us

  Wells Fargo provides middle market, large corporate and financial institution customers with a range of international solutions, including treasury management, credit, payments, financing, foreign exchange, and trade services. Wells Fargo operates from 42 countries and territories outside of the U.S., including branches in Beijing, Cayman Islands, Dubai International Financial Center (DIFC), Hong Kong, London, Seoul.

  Main Function of the Job:

  Participates in integrated audits and leads execution of the audit process (primarily as in-charge and in some cases as engagement supervisor), in accordance with WFAS policy. With guidance/support from the Engagement Supervisor (Audit Manager)/Senior Audit Manager, the Senior Audit Leader is responsible for accurately assessing risks and controls, developing effective test plans, exhibiting appropriate judgment regarding issue notification, drafting findings and final audit reports, and leading communication with clients.

  Responsibilities:

  • Lead audits primarily as in-charge and in some cases as engagement supervisor.
  • Identify and assess key risks and controls and develop effective test plans for engagements with limited guidance.
  • Work within deadlines and manage multiple tasks.
  • Exhibit appropriate judgment regarding issue notification, issues draft findings to client management, and draft final audit reports for review by the Engagement Supervisor or Senior Audit Manager.
  • Demonstrate depth and breadth of knowledge and understanding of risks (operational, financial, regulatory, etc.) across multiple businesses.
  • Provide formal/informal mentoring and feedback to further position audit staff for growth and advancement.
  • Support the Senior Audit Manager as needed in regional governance forums and develop/maintain strong relationships with local personnel.
  • Demonstrate excellent communication skills and the ability to influence across multiple levels of management.
  • Support regional manager by interacting with regional, US and APAC WFAS personnel to fulfill regional regulatory requests.

Market Skills and Certifications

Requirements

• BA or BS degree with courses taken in audit, business, finance, accounting or computer science a clear advantage.
• CIA/IIA/CISA or equivalent.
• An MBA or professional certification (either of ACA/CPA, CFA or equivalent) is a plus, as is previous securities, compliance or operations experience.
• Specific industry knowledge of corporate and investment banking, fixed income products origination, sales and trading, equities sales, treasury products, asset management, and related Risk, Compliance, Technology and Operations.
• Demonstrates professional skepticism.
• Sound understanding of internal audit, risk management and risk advisory skills.
• Proven ability to effectively lead projects, collect and analyze data, develop and communicate recommendations and provide effective performance feedback to team members.
• Well-developed planning, organizing and staff management skills.
• Proven ability to work within deadlines and manage multiple tasks. Demonstrate excellent communication and ability to influence change.
• Self-awareness, conflict resolution skills, individual accountability and a passion for learning are also critical.

Team members 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.