Senior Lead Auditor

Wells Fargo - Philadelphia, PA (30+ days ago)3.8

Job Description
At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Audit Services conducts audits and reports the results of our work to the Audit & Examinations Committee of the Board of Directors. We provide independent, objective assurance and consulting services delivered through a highly competent and diverse team. As a business partner, Audit helps the Company accomplish its objectives by bringing a systematic disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes.

Wells Fargo Audit Services (WFAS) is seeking Senior Lead Auditor with extensive business line risk management, FRB, and/or audit experience in Regulatory Reporting specific to FR Y-14M, Q, and A regulatory reports. Experience in other Corporate and Accounting/Finance related businesses/activities (e.g. SEC, Basel, CCAR/DFAST and/or BCBS 239 Risk Reporting).

As a Senior Lead Auditor, you will be responsible for supervising audit professionals in executing required work that is risk-based and delivered with high standards of quality. You will be responsible for project management, establishing guidelines, coaching and measuring performance of multiple staff. You will act as a subject matter expert in regulatory reporting and partner with line of business audit teams to build expertise. Responsibilities include the following:

Proactively research regulatory reporting instructions and develop risk-based audit procedures with minimal supervision.
Excellent project management skills regarding assigning tasks, monitoring progress of deliverables to meet audit plan and delivering interim feedback.
Partner with senior leadership to perform risk assessment, identify key risks, document & review internal controls and finalize scope of engagement.
Identify and develop ways to improve existing audit practices related to audit coverage.
Exhibit depth and breadth of knowledge/understanding (technology, operational, financial and regulatory) across multiple businesses and/or develop knowledge in a critical subject matter area.
Partner with other internal audit teams to manage and execute an audit coverage strategy for FR Y-14M/Q related regulatory reports across enterprise to ensure adequate and appropriate coverage on a scheduled coverage horizon basis.
Train and mentor junior staff regarding required skills (e.g. audit methodology, regulatory reporting, SEC reporting, etc.) and delegate activities.
Present audit results in an objective and a confident manner. Proviades ongoing communications and credible challenges to business partners; while maintaining a balance between independence and partnership.
Review the working papers of audit professionals to ensure a high quality is maintained and WFAS methodology is followed.
Write opinions reflecting relevant facts that lead to logical conclusions. Escalates significant risks and loss exposures to appropriate levels of management.
Work and communicate effectively in a virtual team environment.

Required Qualifications

4+ years of experience in one or a combination of the following: audit, control testing, control and risk identification, or audit analysis

Desired Qualifications

Audit experience at a financial institution or accounting firm
A BS/BA degree or higher
Ability to obtain or currently hold one or more of the following certifications: CIA, CISA, CPA, CAMS, or CRCM
Solid knowledge and understanding of audit methodologies and processes
Big four public accounting experience
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Excellent verbal, written, and interpersonal communication skills
Knowledge and understanding of audit and regulatory compliance
Outstanding problem solving and analytical skills with ability to turn findings into strategic imperatives

Other Desired Qualifications
Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
Leadership experience for professional auditors, risk management, or project leadership professionals
Knowledge and understanding of regulatory reporting: Federal Reserve, OCC, and SEC
Knowledge/experience of large bank operations and processes used for FR Y-14M/Q regulatory reporting
Working knowledge/experience of end to end data management and integrity testing in large bank settings critical to reliability of regulatory reporting
Regulatory Reporting experience

Job Expectations

Ability to travel up to 10% of the time


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.