Senior Auditor, Senior AVP - Financial Crimes/Know Your Customer

Wells Fargo-posted 3 months ago
$84,000 - $149,400/Yr
Full-time • Mid Level
Hybrid • Minneapolis, MN
1,001-5,000 employees
Credit Intermediation and Related Activities
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Wells Fargo is seeking a Senior Auditor on the Financial Crimes Audit Team. The Financial Crimes Audit Team provides horizontal audit coverage of financial crimes risk across Wells Fargo lines of business. The Financial Crimes Audit Team oversees, manages, and executes BSA/AML/OFAC related audits across Wells Fargo lines of business, and evaluates the system of internal controls and processes related to financial crimes. The Financial Crimes Audit Team is responsible for testing governance and coordinating first line audit coverage of Anti-Bribery and Corruption regulations.

  • Perform audit testing components of assigned audits within multiple segments of the Audit Plan
  • Plan and execute independent audit testing and ensure that they are timely and accurate
  • Identify and assess key risks and controls
  • Execute and document work in accordance with Internal Audit policy
  • Identify and develop compensating controls that mitigate audit findings and make recommendations to management
  • Inform manager of situational issues that might compromise objectivity or independence
  • Design and execute tests to verify control effectiveness
  • Document work papers according to the standards of the Internal Audit policy and guidance
  • Demonstrate professional skepticism while performing major components of audits
  • Lead smaller scale audits or projects
  • Develop ways to improve existing audit practices
  • Develop effective test plans for engagements as assigned with limited guidance
  • Participate in projects as directed
  • Develop business partnerships within Internal Audit and with teams companywide through professional communication and clear audit deliverables
  • 4+ years of Audit, Risk experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • Experience at a financial institution or accounting firm
  • A BS/BA degree or higher
  • Solid knowledge and understanding of audit or risk methodologies and supporting tools
  • Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
  • Excellent verbal, written, and interpersonal communication skills
  • Experience in Bank Secrecy Act and Anti-Money Laundering (BSA/AML), International, Sanctions regulations and/or financial crimes risk
  • Experience with Know Your Customer processes and controls
  • 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
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