Lead Financial Controls Analyst - IT General Controls (ITGC)

About this role:

Wells Fargo is seeking a Lead Financial Controls Analyst within the Enterprise COSO testing team.

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

The Enterprise COSO testing team supports the Company's on-going objective of maintaining an industry-leading information technology control environment and is responsible for the following directives:

• Providing meaningful assessments of IT General Controls (ITGCs) covering applications that support financial, risk, and regulatory reporting.
• Assessing compliance with Well Fargo & Company's COSO based policies for IT controls impacted by internal controls over financial reporting (SEC and Regulatory Reporting) and strategic planning for on-going IT control compliance with COSO policies (proactive anticipation of internal control related matters).
• Monitoring new and emerging internal control related guidance and issues.
• Providing consultation and subject matter expertise for process and IT control related matters including evaluating severity of control deficiencies and related remediation efforts.
• Providing process and control support and thought leadership for projects.
• Interfacing with external auditors, regulators and others on control related matters and,
• Acting as a change agent for continual improvement of the control environment.

• Lead a team of individual contributor roles in the execution of ITGC testing in support of addressing financial reporting risks
• Monitor the team's testing status and escalate as required to ensure testing deadlines are met
• Manage team member's schedules and the allocation of testing resources
• Consult with IT, the line of business and/or enterprise functions on financial reporting, information technology governance, and controls and oversight matters
• Identify compliance and risk management requirements for supported area
• Provide process and control support and leadership for governance and oversight related projects
• Plan, execute, or provide oversite for testing and monitoring involving complex subject matter or control areas
• Provide technical interpretation on various matters
• Communicate and provide consultation regularly with stakeholders throughout the enterprise
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Lead the following IT General Control (ITGC) testing in the access to programs and data, change management, computer operations, and software development lifecycle domains:
  • Oversee walkthroughs of significant technology processes and ensure required COSO documentation is accurate and reflects relevant risk and key controls.
  • Assess the appropriateness and completeness of key risks and key controls identified
  • Validate and provide credible challenge to identified shared services, third-party service providers, and significant applications
  • Review COSO testing of key ITGCs, including design effectiveness assessments and operating effectiveness testing.
  • Analyze the severity of control deficiencies and their impact to internal control over financial reporting
• Build relationships and collaborate with key stakeholders and leaders within Technology
• Assign and review the work of Senior Financial Control Analysts
• Lead and assist with complex projects impacting the team or other lines of business, including identification of risks and consulting on controls for newly implemented processes and applications.

• 5+ years of Finance, Accounting, Analytics, Reporting or Business and Technology Audit experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• Experience assessing and documenting financial and/or regulatory risks and controls
• Internal controls testing experience including automated controls and/or IT General Controls (ITGC)
• Experience identifying ITGCs and developing and executing test plans for ITGCs, including access to programs and data, change management, computer operations, and software development lifecycle
• Experience partnering with financial and IT audit teams on integrated audits
• Experience with large professional services firms
• Experience with large financial institutions
• A BS/BA degree or higher in one or a combination of the following: Accounting, Information Systems, or Information Technology
• Excellent verbal, written, and interpersonal communication skills
• Ability to present results of analyses and recommendations
• One or more of the following certifications: CPA, CIA, CISA
• Knowledge and understanding of regulatory agencies: Federal Reserve and OCC

• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process .

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement