Compliance Consultant 3

About Wells Fargo

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $2.0 trillion in assets. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 8,500 locations, 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 42 countries and territories to support customers who conduct business in the global economy. With approximately 273,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 25 on Fortune's 2017 rankings of America's largest corporations. Wells Fargo's vision is to satisfy our customers' financial needs and help them succeed financially. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories .

About Wells Fargo EGS (India) Private Limited

We are hiring for a position in Wells Fargo EGS (India) Private Limited.We are a critical component of the Wells Fargo strategy to leverage distinct advantages of a global environment.
Currently we are 12000+ strong team members with 3 locations (Chennai, Bangalore and Hyderabad) in India and 1 center in Manila.

Involves in the planning and execution of the APAC Operational Risk testing program as part of the APAC Operational Risk Testing and Validation team to assess the Bank's control environment across all Line of Business as well as Corporate Functions, and validate the Bank's remediation on any issues relating to Operational Risk.

Works with other "Second Line of Defense" functions and business units to help the T&V team in APAC maintain an up-to-date view on the Bank's risk landscape in the region.

Typical testing engagements involve the evaluation of control environment in relation to specific business process-level risks and/or compliance with specific regulatory / policy requirements via the assessment of relevant internal controls' design and performance effectiveness.

Exhibit credible challenge and evaluate the adequacy and effectiveness of policies, procedures, processes and internal controls while maintaining professional independence throughout the testing engagement
Document end to end process flows including dependencies, risks, controls, inputs/outputs, systems, gap identification etc
Market Skills and Certifications
Minimum Requirements:

  • Minimum 6 years of experience with four years' experience in a financial services audit, compliance testing or operational risk testing role

Desired Skills:
  • Prior audit, compliance or operational risk testing experience. Candidates with prior external / internal audit experience is preferred
  • Prior experience in full-cycle of audit / testing, including planning, control testing, issue discussion and reporting, is an advantage
  • Experience with Data Analytics / CAATs is a bonus
  • Experience in designing and executing test scripts or quality assurance reviews to assess controls or process effectiveness.
  • Working knowledge of regulatory environment in major APAC jurisdictions (e.g. Singapore, Hong Kong, China, South Korea and Japan etc.) is a plus.
  • Advanced degree or professional certification (such as CIA)
  • Ability to develop and foster partnerships and influence change.
  • Adaptable to a dynamic work environment with multiple priorities and strict timelines and able to organize for responsiveness and efficiency
  • Proven ability to work within a team environment as well as individual accountability.
  • Experience working knowledge in large complex organizations
  • Well-organized with the ability to manage large initiatives concurrently
  • Strong analytical skills
  • Excellent written and verbal communication skills
  • Ability to work well in a team environment
  • Proficient with Microsoft Word, Access, and Excel
  • BS/BA or equivalent



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