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Enterprise Testing Senior Associate - BSA/AML/OFAC Testing

Company: Wells Fargo Bank
Location: Avondale
Posted on: January 1, 2020

Job Description:

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 when 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.Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.Within Wells Fargo Compliance, the Enterprise Testing team is responsible for the development and design of methodologies and standards for review activities across the Enterprise, in alignment with the Risk Management Framework, and ensuring effective and appropriate testing, validation, and documentation of review activities for risk programs, risks, and controls according to standards and other applicable policies.The Enterprise Testing Senior Associate within the -Enterprise Functions Testing and Validation (T&V) team will be responsible for planning and executing control testing, specific to BSA/AML/OFAC/Financial Crimes regulatory requirements, in accordance with the Independent Monitoring, Testing, and Validation Policy and Enterprise Testing Operating Procedures. This position will be responsible for the planning and execution of the compliance testing program for Enterprise Finance, Corporate Risk, Audit, HR, Stakeholder Relations, and Legal. -Specific duties for this position include, but are not limited to:

  • Implement the Testing & Validation methodology and standards, and execute group-specific testing.
  • Participate as a tester or co-lead on BSA/AML/OFAC/Financial Crimes reviews of varied complexity and regulatory risk exposure.
  • Identify and report issues, and follow up on corrective actions to ensure regulatory compliance.
  • Exercise effective communications and promote positive client relations with business line team members and management.
  • Collaborate with teammates and facilitate an efficient and valued review process.
  • Thoroughly document and succinctly write test work summaries and reports.
  • Know and effectively apply corporate regulatory compliance risk management policy and procedures.
  • Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance functions reviewed.
  • Keep abreast of BSA/AML/OFAC/Financial Crimes regulatory changes and issues affecting compliance reviews.
  • May assist with special initiatives.

    Required Qualifications
    • 5+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management

      Desired Qualifications
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Experience creating, executing, and documenting compliance testing

        Other Desired Qualifications
        • Experience in Audit, Compliance, Risk, and Testing
        • Strong critical thinking skills
        • Intermediate Microsoft Office skills
        • Excellent verbal, written, and interpersonal communication skills
        • Strong analytical skills with high attention to detail and accuracy
        • Ability to interact with all levels of an organization
        • Knowledge of and experience testing BSA/AML/OFAC/Financial Crimes laws and regulations
        • Ability to identify controls through review of procedures, walkthroughs, and testing
        • Experience providing "credible challenge" to business partners when necessary, with the ability to lead through influence
        • Experience assessing test scope, designing test scripts, and executing, documenting, and reporting on compliance testing
        • Knowledge of Wells Fargo corporate compliance policies, procedures, and standardsOne or more of the following certifications is desired:
          • Certified Anti-Money Laundering Specialist (CAMS)
          • Certified Fraud Examiner (CFE)
          • Certified Financial Crimes Specialist (CFCS)
          • Certified Information Systems Auditor (CISA)
          • Certified Internal Auditor (CIA)
          • Certified Public Accountant (CPA)
          • Certified Regulatory Compliance Manager (CRCM)
          • Certified Risk and Compliance Management Professional (CRCMP)
          • Certified Risk Professional Program (CRP)

            Job Expectations
            • Ability to travel up to 10% of the time

              Street Address
              GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA
              GA-Atlanta: 360 Interstate North Pkwy Se - Atlanta, GA
              NC-Charlotte: 301 S College St - Charlotte, NC
              NC-Charlotte: 301 S Tryon St - Charlotte, NC
              NC-Charlotte: 401 S Tryon St - Charlotte, NC
              NC-Charlotte: 550 S Tryon St - Charlotte, NC
              NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
              SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
              TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
              TX-Irving: 250 E John Carpenter Freeway - Irving, TX
              CO-Denver: 1700 Lincoln St - Denver, CO
              CO-Englewood: 9780 S Meridian Blvd - Englewood, CO
              IA-Des Moines: 800 Walnut St - Des Moines, IA
              IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
              MN-Minneapolis: 600 S 4th St - Minneapolis, MN
              AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ
              AZ-PHX-Northwest Phoenix: 11601 N Black Canyon Hwy - Phoenix, AZ
              AZ-Chandler: 2600 S Price Rd - Chandler, AZ
              AZ-Tempe: 1150 W Washington St - Tempe, AZ
              OR-Portland: 1300 Sw 5th Ave - Portland, OR
              NC-Raleigh: 1100 Corporate Center Dr - Raleigh, NC
              UT-Salt Lake City: 1095 E 2100 S - Salt Lake City, UT
              UT-Salt Lake City: 1255 E Brickyard Rd 1 Flr - Salt Lake City, UT
              UT-Salt Lake City: 260 Charles Lindbergh Dr - Salt Lake City, UT
              TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
              MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
              PA-Philadelphia: 101 N Independence Mall E - Philadelphia, PA
              SD-Sioux Falls: 4811 N 4th Ave - Sioux Falls, SD


              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.

Keywords: Wells Fargo Bank, Avondale , Enterprise Testing Senior Associate - BSA/AML/OFAC Testing, Other , Avondale, Arizona

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