Assistant Manager - Operational Risk & Compliance
Wells Fargo & Company (NYSE: WFC) is a leading global financial services company with $2.0 trillion in assets and offices in over 37 countries. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides asset management, capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the global economy. At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We also value the viewpoints of our team members and encourage them to be their best. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience. We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Learn more at our International Careers website .
Market Job Description About Enterprise Global Services
Enterprise Global Services (EGS) enables global talent capabilities for Wells Fargo Bank NA., by supporting over half of Wells Fargo's business lines and staff functions across Technology, Business Services, Risk Services and Knowledge Services. EGS operates in Hyderabad, Bengaluru and Chennai in India and in Manila, Philippines. Learn more about EGS at our International Careers website. Department Overview
Technology Risk Management is an organization of approximately 600 team members that have come together from diverse backgrounds in risk management and technology management. Central Risk Service teams manage the end-to-end life cycle of the Technology Risk Services and Operational Risk Teams that directly support the EIT business units providing risk consulting and risk services to EIT. About the Role
This is an Individual Contributor role. The individual will be a part of the larger team and would work in tandem with the Stateside counterparts. This position is in the Wells Fargo Technology, Technology Controls, Self Assurance Practices Quality Assurance team. This position will be responsible for performing and leading quality assurance and quality control reviews for already tested controls as well as control procedure( test script) preparation and change control This role provides the assurance that policies, procedures and methodologies as well as internal controls are being executed as expected and the department work product is consistent, repeatable and in compliance. Responsibilities
Control review activity includes but not limited to Test execution of Design and Operating Effectiveness, Issue Root Cause Analysis, Results Reporting as well as policy adherence evaluations. This person will work in a quality assurance function, collaborating with testers and LOB process/controls owners to help maintain consistency within the function. This person will also work in the self- assurance review scripting function to prepare end to end control self-assurance scripts. Uses knowledge of IT application and infrastructure technology, platform, audit or previous control testing to provide consultative assistance in identifying, evaluating, and resolving scripting and test execution issues. Delivering consistent and quality documentation throughout all phases of the script/QC process, ensuring all record retention policies are in compliance for the executed testing. This person will conduct, coordinate and lead other Control Review Operations activities such as control review activity or special projects as assigned. Collaborating closely with US teams and control testing managers in day-to- day job execution and providing guidance to less experienced specialists/consultants. Will need to assist in the preparation of monthly Script/Quality Control metrics for dashboard reporting.
Market Skills and Certifications Essential Qualifications
- 5 - 8 years of overall experience with 3- 5 years in the Controls Testing or Process Reengineering for a multinational financial institution
- Must have broad knowledge of IT processes.
- Must have experience in control review activity (control testing) or IT audit. Creation of test script/ steps is a must.
- Must have demonstrated operational risk knowledge/experience including design of effective control processes, development of test requirements and/or testing controls for effectiveness.
- Must have superior verbal communication skills including the proven ability to negotiate solutions in challenging situations
- Must have demonstrated strong analytical thinking and communication skills including the ability to research and understand complex processes and effectively communicate them to interested parties
- Must have demonstrated superior relationship building and relationship management skills
- Must have demonstrated strong technical writing skills including the proven ability to clearly document activities, processes and test results
- Must be proficient in Microsoft Office including but not limited to: Word, Excel, Visio, PowerPoint.
- Must have strong ability to pay attention to detail
- Must have strong time management skills and the demonstrated ability to manage multiple tasks and meet deadlines with minimal supervision.
- Knowledge of the CoBiT frameworks
- Ability and experience working in global delivery model.
- Prior Big4 experience preferred.
- Prior BFSI captive experience preferred.
- Certifications (one or multiple)- CISSP, CISA, CRISC, CISM, ISO 27001 Lead Auditor, COBIT, COSO, ITIL, Controls Testing, Information Security Testing
We Value Diversity
At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law. We comply with all applicable laws in every jurisdiction in which we operate.