Senior Lead Auditor
About Wells Fargo
Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $2.0 trillion in assets. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 8,500 locations, 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 42 countries and territories to support customers who conduct business in the global economy. With approximately 273,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 25 on Fortune's 2017 rankings of America's largest corporations. Wells Fargo's vision is to satisfy our customers' financial needs and help them succeed financially. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.
Wells Fargo Audit Services (WFAS) is a provider of independent, objective, and advisory services delivered through a highly professional and diverse team. The primary function of WFAS is to determine if the company's risk management, systems of control, and governance processes are adequate and functioning as intended. As a business partner, WFAS makes significant contributions to protecting the value of Wells Fargo's corporate assets.
- Leads execution of the audit process primarily as auditor in-charge and may participate in audit testing to provide subject matter knowledge and skills.
- Identifies and assesses key risks and controls and develops effective test plans for engagements with limited guidance.
- Demonstrates comprehensive knowledge and understanding of the financial, operational, technical, and regulatory environment across multiple businesses, jurisdictions, and/or develops strong subject matter knowledge in critical areas of the business.
- Utilizes knowledge that expands across multiple businesses, regions, and subject matter areas. Using this knowledge, influences understanding and coverage of international risk exposures across WFAS portfolio of audits.
- Leads projects ranging in size and complexity based upon level of experience. Evaluates and provides appropriate solutions for problems.
- Demonstrates professional skepticism.
- Presents audit results in an objective and unbiased manner.
- Writes opinions reflecting relevant facts that lead to logical conclusions.
- Maintain a "no surprises" environment with business partners as well as with peers and WFAS management by fostering an environment of open communication. Displays a sense of urgency while focusing on issues that truly make a difference.
- Provides formal/informal mentoring and feedback to further position audit staff for growth and advancement.
- Can lead and adapt to a virtual team environment where other team members and business partners are not always local, and in many cases, located across the United States and Europe.
- Interacts with US, EMEA, and APAC WFAS personnel to fulfill regulatory requests.
- Consistently demonstrates the ability to go above and beyond expectations, driving for superior results and quality.
- Supports the APAC Senior Audit Manager in regional initiatives, special projects and committees while contributing to the achievement of WFAS' mission.
- The Senior Lead Auditor will also be expected to participate in strategic and tactical projects with personnel located across the globe. To this effect, the ideal candidate must exhibit strong project management skills, resourcefulness, and cross-cultural awareness.
- This position is based in Hong Kong.
- 4+ years of experience in one or a combination of the following: audit, control testing, control and risk identification, or audit analysis
- A BS/BA degree or higher in accounting, finance, or business administration
- Audit experience at a multinational financial institution or public accounting firm auditing a variety of products (securities, trade finance, correspondent banking, commercial lending, asset management, etc.) and support functions (treasury, operations, compliance, etc.)
- Knowledge of international banking regulatory/supervisory frameworks and regulatory requirements for foreign financial institutions, particularly those operating in APAC.
- Relevant professional certification (CIA, CISA, CPA, CFA, Securities License, etc.).
- Solid knowledge and understanding of audit methodologies and processes
- Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
- Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
- Excellent verbal, written, and interpersonal communication skills. Strong verbal and written proficiency in English. Mandarin/Japanese skills strongly preferred.
- Good analytical skills with high attention to detail and accuracy
- Solid problem solving skills
- Strong organizational, multi-tasking, and prioritizing skills
- Willingness to work flexible hours to support interactions with global counterparts.
- Ability to travel up to 15% of the time within regional financial hubs and the United States.
Team members 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.