Lead Financial Controls Analyst

Wells Fargo Bank•Irving, TX

About The Position

Wells Fargo is seeking a Lead Financial Controls Analyst - Business Process Automated Controls (BPACs) 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 Business Process Automated Controls (BPACs) covering risks that support financial and regulatory reporting. Assessing compliance with Wells 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.

Requirements

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 risk and controls
Internal controls testing experience including Business Process Automated Controls (BPACs) and/or IT General Controls (ITGC)
Experience and understanding of SOX/COSO frameworks and regulatory agencies (Federal Reserve and OCC)
Experience partnering with financial and IT audit reams on integrated audits
Experience with large professional service firms
Experience with large financial institutions
Excellent verbal, written, and interpersonal communication skills
Ability to present results of analyses and recommendations
A BS/BA degree or higher in one or a combination of the following: Accounting, Information Systems, Finance, or Information Technology.
One or more of the following certifications: CISA, CPA, CIA, CRISC
Experience with ERP systems (e.g., SAP, Oracle) and data analysis tools
External Audit / Big 4 Experience

Responsibilities

Consult with the line of business and enterprise functions on financial reporting, information technology governance, and control oversight matters
Identify compliance and risk management requirements and work with stakeholders to implement key risk initiatives
Lead planning and execution of IT automated control testing, including control alignment, resource coordination, and testing strategy
Oversee execution of Test of Design (TOD) and Test of Effectiveness (TOE), ensuring completeness, accuracy, and alignment to control objectives
Provide technical interpretation of control design, system functionality, data flows, and IT dependencies, including root cause analysis of control deficiencies
Lead implementation of complex projects with companywide impact
Communicate and provide consultation to leadership across the enterprise
Lead initiatives to identify control gaps, process inefficiencies, and opportunities for automation and control optimization
Oversee and participate in business process walkthroughs, ensuring risks, controls, and documentation are aligned
Challenge and refine control scope and testing approach based on changes in systems, processes, or risks
Assess impacts of system or application changes on control design and testing
Provide process and control support for governance and oversight projects
Collaborate with peers, colleagues, and managers to resolve issues and achieve goals
Align with Internal Audit, external auditors, and stakeholders on testing approach, documentation, and reliance strategies
Identify and escalate control issues, testing delays, and stakeholder risks
Support preparation and review of control issue documentation (e.g., issue memos)
Oversee maintenance of key control systems and trackers to ensure data accuracy and completeness
Provide guidance and mentorship, including workpaper review and feedback to ensure audit-ready quality