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Senior Auditor

2 months ago

London, United Kingdom Wells Fargo Full time
About this role:

We are looking for a Senior Auditor to join our dynamic London-based Financial Crimes Internal Audit Team. As a Senior Auditor you will be responsible for performing and leading audit testing components across multiple segments of the Audit Plan. Your role will involve executing and documenting work in accordance with Wells Fargo Audit policy, with primary focus on financial crimes risk areas (e.g., AML, Sanctions, Anti-Bribery and Corruption, etc.). The Senior Auditor is responsible for accurately identifying and assessing risks and controls, designing and executing effective test plans, exhibiting appropriate judgement regarding issue notification, drafting findings and communicating with stakeholders.

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 completed timely and accurately.
  • Identify and assess key risks and controls.
  • Execute and document work in accordance with Wells Fargo Audit policy.
  • Identify and develop compensating controls that mitigate audit findings and make recommendations to management.
  • 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 for Europe, Middle East & Africa only:
  • Experience in Audit, Risk, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
  • BA or BSc degree.
  • Professional certification (ACA/CPA, CIA, CAMS, etc.) is preferred.
  • Previous financial services, securities, compliance, or operations experience.
  • Experience in Anti-Money Laundering (AML), including international regulations, sanctions regulations, and financial crimes risk.
  • Excellent verbal and written communication skills.
  • Understanding of the financial services industry.
  • French or German language skills and / or experience with or knowledge of France or Germany AML regulations is an advantage.
Posting End Date:
22 Sep 2024
*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.