Senior Audit Manager / Community Bank

    • Charlotte, NC

Job Description
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Internal Audit (IA) conducts audits and reports the results of our work to the Audit & Examinations Committee of the Board of Directors. We provide independent, objective assurance and consulting services delivered through a highly competent and diverse team. As a business partner, Audit helps the Company accomplish its objectives by bringing a systematic disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes.
Our Consumer Banking Audit Team (CBAT) within IA department is seeking a Senior Audit Manager (SAM) who will be responsible for audit coverage of processes within the Community Bank organization, which comprises areas such as Regional Banking, Banking Center Control Review, Mystery Shopping, Customer and Branch Experience, Strategy and Administration, and Regional Services. The Regional Banking team under CB has direct responsibility over the branches. There are also several areas within CB that support branches through project support and operational performance monitoring and oversight.
This SAM will support an Audit Director for Community Banking and will be accountable in developing a comprehensive multi-year strategy for auditing business activities. This leader will be responsible for completion of an assigned segment of the audit plan and other defined objectives, ensuring quality and timely completion of well-planned and properly executed audits. Additionally, this leader will ensure project work is properly reported with issues proactively escalated to management for timely resolution. This leader will plan and organize work in an annual cycle making strategic, ensure audit engagements are risk-based, and executed according to IA policies and guidance. Ideal candidates for this position will have the ability to provide credible challenge and manage audit coverage that meets heightened regulatory expectations. This leader will provide guidance and oversight to IA team-members to ensure coverage is well planned, executed, and reported in accordance with IA methodology, lead team members providing feedback, coaching and development opportunities. They will also be accountable for management of issues to ensure timely tracking, monitoring, and resolution. They will work across IA teams and with senior-level leaders within IA and our business lines building strong partnerships. Additional responsibilities:

  • Develop a comprehensive understanding of inherent risk and processes that manage risk at Wells Fargo.
  • Evaluate current audit approaches and practices, providing thought leadership on industry best practices and regulatory changes, and driving continued maturation and evolution of the audit function.
  • Identifying thematic risk trends observed across the enterprise for purposes of influencing strategic control direction and process maturity.
  • Represent the CBAT Audit team as a highly engaged, visible, and influential leader.
  • Seek continuous quality improvement and efficiency in the execution of audit work.
The successful candidates for this role will demonstrate experience leading and coaching audit teams and have an understanding of and experience in front line risks for the consumer banking industry. They will be an effective builder and leader of high performing teams focused on driving business results through collaborative leadership and team member engagement; keep up with fast paced organizational change, managing and caring for team members through that change; contribute to IA and CBAT strategies with a One Wells Fargo lens; and further the strong risk management culture of Wells Fargo, living the vision and values of Wells Fargo.
These leaders must be capable of initiating action and possess strong execution and relationship management skills across all levels and functions, as well as with the regulators. A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment. The role requires a sense of urgency, passion for excellence and results, and personal accountability for achievement and outcomes.
The Senior Audit Manager will:
  • Manage a staff (approx. 8-15) and be responsible for the quality and timely the Audit Plan in accordance with IA policies.
  • Provide timely feedback and coaching to team -members. Establish development plans for each team member that facilitates proficiency and excellence in current positions and prepares team members for future opportunities.
  • Plan and organize work over a multiple-year cycle. Ensure audit engagements are risk-based, and executed according to IA policies and guidance.
  • Develop and maintain strong working relationships with lines of businesses, risk management, and regulators.
  • Possess a strong working knowledge of applicable regulations including the ability to form opinions on the design and effectiveness of regulatory compliance and operational controls.
  • Provide credible challenge to business leaders related to reputations risks as appropriate.
As a Team Member Manager, the SAM is expected to achieve success by leading themselves, team, and the business. Specifically you will:
  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.
  • Represent CBAT as a highly engaged, visible, and influential leader
  • Demonstrate and lead the team with flexibility and resiliency that is both adaptable and supportive of change
Candidate must work in Charlotte, NC.

Required Qualifications
  • 8+ years of experience in one or a combination of the following audit or risk functions: leading teams covering risk identification, mitigation and management (includes audit, legal, operational risk, compliance risk, credit risk, market risk, technology risk, or the management of a process or business with accountability for risk.)
  • 2+ years of management experience

Desired Qualifications
  • Experience at a financial institution or accounting firm
  • A BS/BA degree or higher
  • Leadership experience
  • Solid knowledge and understanding of audit or risk methodologies and supporting tools
  • Strong understanding of financial regulatory environment
  • Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Excellent verbal, written, and interpersonal communication skills
  • Strong organizational, multi-tasking, and prioritizing skills
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Solid problem solving skills

Other Desired Qualifications
  • Community Banking audit experience and knowledge.
  • Comprehensive understanding of retail banking including account opening, maintenance, closing, operations, fraud, wires processing, branch key processes including operational risk and regulations.
  • Understanding and experience in first and second line of defense risk management programs/practices as well as associated regulatory compliance risks and programs
  • Proven leadership experience with multi-functional teams across multiple locations; experience managing/supervising teams; experience managing direct reports
  • Good understanding of Institution of Internal Audit (IIA) standards, regulatory requirements, and industry guidelines
  • Excellent verbal, written, and interpersonal communication skill
  • Strong organizational, multitasking, prioritizing, and problem solving skills
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Demonstrated ability to be inquisitive, to credibly challenge and to proactively influence risk and control environments
  • Ability to quickly evaluate emerging risks, understand impacts to the audit plan and implement appropriate adjustments to the audit plan
  • Capability of building strong working relationships with peers, the line of business, risk management and external stakeholders (i.e. regulators)
  • Ability to attract, mentor and develop professionals, including mid-level managers
  • Proven ability to deliver results through identifying problems, defining solutions, and implementing innovative processes and procedures
  • Proven ability to work with a geographically dispersed team and business

Job Expectations
  • Ability to travel up to 25% of the time

Salary Information
To be determined


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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