Lead Financial Controls Analyst

About this role:

Wells Fargo is seeking a Lead Financial Controls Analyst to support our Technology ITAC team. This team supports the firm's ​​​​​​​​​​​​​​​​​​​​​​​​​​maintenance of an effective system of internal control over reporting by performing testing of information technology (IT) automated internal controls over financial and regulatory reporting that are designed to meet regulatory and industry-expected standards of excellence. We accomplish this in the following ways:

• ​Partner with lines of business, the C​OSO testing team, IT lines of business, and the EC&O Governance and Oversight team to identify key applications associated with significant business processes.

• Partner with Enterprise Information Technology (EIT), Enterprise Information Security (EIS), and Enterprise Data & Analytics (EDA) to identify Information Technology General Controls (ITGCs) that align with using the COBIT 5 Framework.​ 

• Perform control design assessment and operating effectiveness testing of ITACs for significant applications.

• Perform validation testing over IT issues logged deemed to have COSO impact after corrective actions have been completed.

• Support our external auditor’s requests for information to complete their IT work related to the SOX and SOC1 audits.

In this role, you will:

• Consult with the line of business and enterprise functions on financial reporting or information technology governance, and controls and oversight matters

• Identify compliance and risk management requirements for supported area and work with other stakeholders to implement key risk initiatives

• Lead planning and execution strategy of large, complex testing and monitoring initiatives or provide oversight with respect to testing and monitoring involving most complex subject matter or control areas

• Provide technical interpretation on various matters in building and adopting best practices within the functional area

• Lead implementation of complex projects or initiatives with companywide impact

• Communicate and provide strategic consultation to more experienced leadership throughout the enterprise

• Provide technical interpretation of guidelines or report results of the most complex elements of the company’s policy, governance and oversight framework

• Lead initiatives around process design, identification of important risk points, evaluating severity of control deficiencies and monitoring of related remediation efforts

• Provide process and control support and leadership for governance and oversight related projects

• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

• Interact with external agencies, regulatory bodies or industry forums

• Lead in providing work guidance or mentorship to other individuals

Required Qualifications:

• 5 years of Finance, Accounting, Analytics, Reporting or Business and Technology Audit experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• A Masters of Business Administration (MBA) or a Certified Public Accountant (CPA) Designation

• 3 years Big Four/super regional public accounting firm experience in IT audit and/or IT SOX advisory/consulting service

• 3 years of experience performing IT audit and/or IT application controls testing at peer-size companies

• Ability to present to senior level executives

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

• Ability to take on a high level of responsibility, initiative, and accountability

• Knowledge and understanding of regulatory agencies: Federal Reserve and OCC

• CISA, CISM, or CISSP Certification

• Strong critical thinking skills with ability to credibly challenge status quo; significant experience with continuous improvement of application control testing processes and results

Job Expectations:

• This position is not eligible for Visa sponsorship

• This position offers a hybrid work schedule

Posting End Date: 

*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.