Financial Controls Associate

6 days ago

Bengaluru, India Wells Fargo Full time

**About Wells Fargo**

**About Wells Fargo India**
Wells Fargo India enables global talent capabilities for Wells Fargo Bank NA., by supporting business lines and staff functions across Technology, Operations, Risk, Audit, Process Excellence, Automation and Product, Analytics and Modeling. We are operating in Hyderabad, Bengaluru and Chennai locations

**Department Overview**

The Enterprise Finance function contains the Corporate Controllers division, which includes the Enterprise Controls & Oversight (ECO) group. The Enterprise COSO testing team is a component of ECO. Enterprise COSO testing professionals and will have enterprise-wide exposure to key stakeholders within the external financial/risk/regulatory reporting infrastructure

IT COSO team provides independent, objective assurance of information technology (IT) internal controls over financial, regulatory, and risk reporting that are designed to meet regulatory and industry-expected standards of excellence.

**About the Role**

We are looking for SMEs with Risk and Compliance, COSO, Audit and Accounting. The role will require closely working with state side team members and the local manager for ensuring good quality deliverables.

**Responsibilities**
- Performing the following for IT Application Control (ITAC) and IT General Control (ITGC) testing
- Partnering with IT/LOB Process Owners/Control Owners to document significant in-scope processes according to corporate COSO policy (both process narratives and process flow diagrams). Additionally, assessing the appropriateness and completeness of key risk and key controls identified;
- Performing walkthroughs of significant processes and ensure required COSO documentation is accurate and reflects relevant risk and key controls;
- Partnering with IT/LOB Process Owners/Control Owners in the creation of process risk assessments (RAM) as well as validating and challenging risk assessment conclusions;
- Performing COSO testing of key ITACs and ITGCs, including design effectiveness assessments and operating effectiveness testing.
- Validating and challenging documentation of control deficiencies, including issue description, root cause, unmitigated impact, and corrective actions;
- Analyzing the severity of control deficiencies and their impact to internal control over financial reporting.
- Validating corrective actions and issues and building relationships and collaborating with key stakeholders in the applicable line of business (IT) functions related to assigned process areas
- Assisting with projects impacting the team.

**Essential Qualification**
- University degree in Business or related discipline.
- At least 2 years of experience in one or a combination of the following: Audit, Finance, Accounting, Analytics, Reporting
- Minimum of four years' experience in IT audit and/or IT SoX advisory/consulting service or Public Accounting
- Experience with large financial institutions
- Strong knowledge of the COSO and COBIT 5 Frameworks.
- Prefer one or more of the following certifications: CISA, CISM, CISSP
- Practical experience performing and documenting IT audit/IT COSO ITGC/ITAC testing
- Strong critical thinking skills with ability to credibly challenge status quo
- Strong organization and prioritization skills
- Strong relationship management skills; ability to negotiate difficult positions without harming relationships

**Desired Qualifications**
- Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
- Intermediate Microsoft Visio skills
- Ability to prioritize, meet deadlines, and achieve goals and work under pressure in a dynamic and complex environment
- Excellent verbal, written, and interpersonal communication skills
- Ability to take on a high level of responsibility, initiative, and accountability.

**We Value Diversity**

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.

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