Control Management Specialist _COO
1 week ago
Wells Fargo is searching for a Control Management Specialist. The main task is to assess if controls are well-designed and functioning effectively. The approach is personalized based on data from Risk and Control Self-Assessment (RCSA), supporting proactive risk management aligned with the Risk Management Framework. The team conducts evidence-based controls evaluations, documenting outcomes following relevant policies and standards. The evaluation process includes testing controls through different activities like sampling and inspecting evidence to measure their effectiveness in managing risks.
In this role, your responsibilities include:
- Participating in mitigating current and emerging risk exposures associated with the assigned business group's activities and operations. Identifying opportunities for process enhancements within defined business control responsibilities.
- Reviewing and analyzing basic business challenges, requiring research, evaluation, and selection of alternatives.
- Developing and implementing risk monitoring, reporting processes, and controls. Evaluating and reporting results when necessary.
- Presenting recommendations for complex situations, exercising independent judgment, and developing expertise in Control Management.
- Providing support in interpreting policies, guidelines, and governance programs as a front-line liaison to Independent Risk Management.
- Collaborating and consulting with the Control Management team, key stakeholders, and internal customers.
- Concentrating on performing evidence-based control evaluations, conducting various evidence gathering activities as an individual contributor.
- Designing, maintaining, and executing control evaluation scripts. Identifying and documenting control deficiencies, escalating potential issues when required.
- Validating and tracking action plans, escalating issues as needed, and documenting control test artifacts and findings.
- Engaging with multiple stakeholders, including front-line business groups, risk program functions, and IRM teams to drive risk and control program objectives.
- Cultivating a proactive risk culture, operational excellence, and efficiencies.
- 2+ years of experience in Risk Management or Financial Services industry, or equivalent demonstrated through work experience, training, military experience, or education.
- Bachelor's degree or higher. Relevant certifications are advantageous.
- Overall experience of 5+ years, with 3 years in Financial Services industry and/or risk and control domains covering operational risk, controls testing/evaluation, compliance, internal audit, risk management, etc.
- Experience in automation, advanced excel, or reporting is beneficial.
- General knowledge of industry standards and best practices related to control evaluations/testing, internal audit, and risk management processes.
- Experience in creating test questions or test scripts.
- Experience in assessing control design and performance through testing, audit, or Risk Control Self-Assessment practices.
- Experience in assessing processes, procedures, and identifying controls.
- Experience in assessing risk, reviewing risk ratings, identifying control gaps, and determining evaluation methodology.
- Comprehensive understanding of operational risk management in highly regulated industries like financial services.
- Strong analytical skills with high attention to detail and accuracy.
- Excellent verbal, written, and interpersonal communication skills, along with stakeholder management.
- Demonstrating a positive attitude and readiness to work in challenging and dynamic environments.
- Flexibility to multitask across domains and business groups.
- Ability to credibly challenge, conduct tough conversations, and communicate effectively with various management levels.
- Ability to synthesize data from various sources and deliver results efficiently.
30 May 2024.
*The job posting may end early due to the volume of applicants.
We Value Diversity
At Wells Fargo, diversity, equity, and inclusion in the workplace are valued. Applications from all qualified candidates are welcome, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, genetic information, individuals with disabilities, pregnancy, marital status, protected veteran status, or any other status protected by law.
Employees are committed to building strong customer relationships while upholding a culture of risk mitigation and compliance. They are responsible for executing all relevant risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance). This includes following Wells Fargo policies, fulfilling risk and compliance obligations, escalating and remediating issues promptly, and making sound risk decisions. Proactive monitoring, governance, risk identification, escalation, and aligning risk decisions with business unit risk appetite and program requirements are emphasized.
Candidates applying to job openings in the US: All qualified applicants will be considered for employment regardless of race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.
Candidates applying to job openings in Canada: Applications are encouraged from all qualified candidates, including women, persons with disabilities, Indigenous peoples, and visible minorities. Accommodations for applicants with disabilities are available upon request during 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 upholds a drug-free workplace. Please refer to our Drug and Alcohol Policy for more information.
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