Senior Control Management Specialist- COO
3 days ago
Wells Fargo is seeking a Senior Control Management Specialist.
We evaluate whether controls are well-designed and operating effectively. Our approach is tailored based on Risk and Control Self-Assessment (RCSA) data, and it supports proactive risk management in alignment with the Risk Management Framework. We perform evidence-based controls evaluations and document our outcomes based on applicable policies and standards.
The controls evaluation team will perform evidence based control testing which may involve sampling and inspecting evidence to assess the design and operating effectiveness of controls and whether they are mitigating the assigned risks.
This role will help in strengthening the business control environment through proactive evaluation of controls, identification of issues and by providing consultative guidance to the front line business groups.
For this role, we are looking for a candidate with good understanding of risk management, operational risk and control evaluation methodologies with an ability to assess the design and operating effectiveness of controls for medium to high complex processes. The role requires engagement with multiple stakeholders, providing credible challenge and an ability to identify and report potential control gaps in the business processes.
In this role, you will:
- Participate in identifying, assessing, managing, and mitigating current and emerging risk exposures within Control Management functional area
- Provide risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes, and business controls
- Monitor moderately complex business specific programs and provide risk management consulting to support the business in designing and implementing risk mitigation strategies
- Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area
- Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess, and mitigate risk
- Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations
- Individual contributor role focusing on performing evidence based control evaluations by conducting various evidence gathering activities.
- Design, maintain and execute the control evaluation scripts, identify control deficiencies, document and escalate potential issues to appropriate stakeholders.
- Validate & track action plans, escalate issues as required and document the control test artifacts and findings.
- Perform control evaluations for moderate to complex engagements, challenge status-quo and identify opportunities to add efficiencies or refining the existing processes.
- Engage and work with multiple stakeholders - front line business groups, risk program aligned functions and IRM teams for driving the objectives of risk and control programs.
- Instill and drive proactive risk culture, operational excellence and efficiencies.
- 4+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
- Bachelor's degree or higher. Relevant certifications will be an advantage
- Overall experience of 8+ years with 5 years of relevant experience in Financial Services industry and / or risk & control domains covering operational risk, controls testing / evaluation, compliance, internal audit, risk management etc.
- Experience in automation / advanced excel / reporting will be an advantage.
- General knowledge of industry standards and best practices around control evaluations / testing, internal audit and risk management processes.
- Experience creating test questions or test scripts
- Experience assessing control design and performance through testing, audit or Risk Control Self-Assessment practices
- Experience assessing processes, procedures and identifying controls.
- Experience in assessing risk, reviewing risk ratings, identifying control gaps, and determining the appropriate evaluation methodology.
- Comprehensive understanding of operational risk management in the financial services or other highly regulated industries
- Strong analytical skills with high attention to detail and accuracy.
- Excellent verbal, written, interpersonal communication skills and stakeholder management.
- Demonstrate positive attitude and readiness to work in a challenging and dynamic environment.
- Flexibility to multi task and work across domains and business groups.
- Ability to credibly challenge, conduct tough conversations and effectively communicate with various levels of management
- Ability to synthesize data from a variety of sources and deliver results quickly.
*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.
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