Audit Manager - Executive Director, Wealth and Investment Management Audit Team

About this role:

Wells Fargo is seeking an Audit Manager on the Wealth and Investment Management Audit Team providing coverage for Banking, Lending & Trust, Wells Fargo Advisors, Wells Fargo Investment Institute, Wells Fargo Private Bank, WIM Advice and Planning, WIM Marketing, and WIM Operations. Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Lead a team of audit staff to resolve highly complex and unique challenges requiring in depth evaluation across multiple areas or the enterprise, delivering solutions that are long term
• Manage defined audits within one or more segments of the Audit Plan
• Ensure audit engagements are risk based, and executed according to Wells Fargo Audit Services policies and guidance
• Assist in planning and organizing work in an annual cycle and project cycle
• Supervise and oversee assigned audits
• Provide timely feedback, coaching and monitoring of audit work and staff
• Develop and maintain solid business relationships within Wells Fargo Audit Services and with teams across Wells Fargo, and other stakeholders

Required Qualifications, US:

• 7+ years of Audit or Risk experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• A BS/BA degree or higher.
• Experience at a financial institution or accounting firm.
• Solid knowledge and understanding of audit or risk methodologies and supporting tools.
• Strong understanding of financial regulatory environment.
• Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA, CFIRS or Commissioned Bank Examiner designation
• Experience leading and providing feedback to staff on audit projects or engagements.
• Strong sense of urgency and ability to lead projects/initiatives with high risk and complexity. 
• Experience with Issue Validation and Remediation.
• Excellent verbal, written, and interpersonal communication skills.
• Experience in portfolio management, investment strategy, broker/dealer operations, wealth management, fiduciary and trust services.

Job Expectations:

• Ability to travel up to 10% of the time.
• This position is not eligible for Visa sponsorship
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$144,400.00 - $300,000.00

Posting End Date:

13 Apr 2025

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

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: 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.

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.