Audit Manager - Conduct & Sales Practices Team

Job Description

When you look at your career, you want to know that you’re making a difference. You want to go home every day proud of what you’ve done. At Wells Fargo Audit Services (WFAS), we’re with you. WFAS is a provider of independent, objective assurance and advisory services delivered through a highly professional and diverse team. As a business partner, Audit makes significant contributions to protecting the value of Wells Fargo’s corporate assets.

The CSP Team plays a critical function within WFAS planning their approach to audits in the realigned Conduct Management Office (CMO) business group, including conduct risk management, sales practices, allegations, internal investigations, and complaints management. The CSP team is also responsible for oversight and assurance that consent order and other work relative to regulatory actions and expectations is being effectively performed by the business.

We are seeking an Audit Manager within the Conduct and Sales Practices (CSP) Audit team that will focus primarily on enterprise complaints management. The ideal candidate will demonstrate a comprehensive knowledge and understanding of complaints management processes across the enterprise including intake, distribution, research, response, quality assurance, and reporting.

The Audit Manager will have the following primary responsibilities:
• Perform independent reviews on an ongoing basis of complaints activities across the enterprise.
• Demonstrate subject matter expertise related to complaints management policy and processes across the enterprise.
• Identify and manage effective risk-based audit coverage for complaint management processes.
• Exhibit strong critical judgment regarding issue notification and escalation of issues to business partners and executive management.
• Manage a high performing geographically dispersed team of 1-3 individuals, while providing effective coaching and team member development.
• Consistently demonstrate the ability to go above and beyond expectations.
• Drive for superior results and quality.
• Evaluate and provide creative solutions for complex problems.
• Maintain a "no surprises" environment with business partners, peers and WFAS management by fostering an environment of open communication.

Responsibilities will include but are not limited to:
• Cultivate and enhance relationships with WFAS team members, business partners, and/or regulators through competent and professional interactions and consultation.
• Communicate clearly, concisely, professionally, timely, and in context, to engage and inform team members/stakeholders.
• Embrace diversity and inclusion to influence, negotiate, and facilitate to achieve optimal results.
• Demonstrate ability to coach and lead all levels, including senior leadership.
• Assess and articulate issues, risks and proposed solutions to all levels of the organization.

Required Qualifications

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

Desired Qualifications

  • Audit experience at a large financial institution or auditing company.
  • A BS/BA degree or higher in accounting, finance, or business administration
  • 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
  • Solid knowledge and understanding of audit methodologies and tools that support audit processes
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Solid problem solving skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong organizational, multi-tasking, and prioritizing skills

Other Desired Qualifications

• Comprehensive knowledge and understanding of complaints management processes across the enterprise including intake, distribution, research, response, quality assurance, and reporting.
• Ability to deliver multiple concurrent projects or large scale individual projects on time and within budget
• Ability to negotiate, influence, and collaborate to build successful, productive relationships in a geographically diverse environment
• Proactive with a strong sense of urgency
• Highly resourceful and agile
• Ability to work independently with minimal supervision
• Proficient with Microsoft Office Products: Power Point, Excel and Word

Disclaimer

    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.


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