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Key responsibilities include working directly or through compliance officers for the Front Line Units (FLUs) and Control Functions (CFs) to complete compliance, policy, operational/fraud risk management requirements.
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Partner with Front Office Sales and Trading, Market Risk, Technology, Compliance, Finance, Operational Risk, Audit, HR and other support functions. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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Driving compliance to requirements and continuous process improvement by influencing and partnering with enterprise wide partners and executives including Global Financial Control, Centralized Regulatory Reporting, Enterprise Stress Testing, Enterprise Data Management, Balance Sheet Capital Management, Corporate Audit, Finance, Compliance, Operational Risk and others.
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8+ years of experience in internal auditing, risk management, or related fields within the banking industry, with a focus on financial crimes, compliance, and operational risk management.
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Minimum 3 years of experience in financial services industry, with at least 2 years in an operational risk management, internal audit, or compliance role with a focus on internal control monitoring and testing Skills and Knowledge.
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Operational Excellence – Improving CFO Data Management functions for production, data governance, data change and regulatory/audit activities. 3+ years of experience in the Financial Services industry (at BAC or a similarly-sized institution) researching and remediating data issues impacting financial, risk, or regulatory reporting functions, project management or other data management & data control environment.
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Familiarity with BAC Enterprise Data Management Policy & Standards and the BAC Risk Framework. Change Management - Validates data and signs off on reports within test environments to confirm application accuracy, functionality and EDM Standards are met.
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IT risk assessment / operational IT audit. The Risk Advisory & Consulting, Manager (IT), will be responsible for leading the day-to-day execution and delivery of a range of projects focused on IT internal audit and advisory, IT governance and risk assessment, system implementation reviews, Sarbanes-Oxley compliance and information security.
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Minimum of 5 years of experience in Audit, Compliance, Risk Management or Operational Risk. 3+ years of proven experience in Financial Services, Corporate Risk Management, or Audit with an emphasis on Finance / Treasury risk disciplines.
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Coordinating risk management audit activities by integrating with internal audit subject matter teams (primarily process auditable entity owners) to ensure appropriate coverage of operational risk.
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Through robust 2nd line oversight, ensure the Business Unit’s compliant execution to the corporate risk management framework for all eight risk types. Communicate to RMO and BUCRO leadership regarding activities, trends, and events pertaining to tracked issues including Regulatory, Audit and Credit Risk Review activities as well as those self-identified by the LOB and ensure target dates are met and remediation plans are suitable.
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Working with our Private Company Services Personal Financial Services practice will provide the opportunity to help High Net Worth Individuals & private wealth management structures with a range of advisory needs such as audit, tax compliance, & planning to improve their operational efficiency & free up time to be spent focusing on personal wealth strategy.
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Key responsibilities include planning and developing the audit strategy and managing audit services, influencing business executives, and helping business partners balance business strategy with risk management controls.
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6 years of risk management, regulatory or operations experience in a relevant functional area to include banking, insurance, financial services, audit, project management, public accounting, or other related operational area.
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Work with other groups as needed, including Compliance, Audit, Operational Risk, and Technology to ensure effective controls over data for respective Domain. Assist in the execution of Enterprise Data Management Standards and/or Global Records Management Standards, and data quality and control practices.
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operational risk management audit jobs in Charlotte, NC
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