Lead Financial Controls Analyst

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Lead Financial Controls Analyst

lead · Risk & Compliance

About this role:

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. 

In this role, you will:

• 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 

Required Qualifications:

• 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

Desired Qualifications:

• 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  

Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. 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. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.