Senior Control Management Specialist/Evidence Based Control Evaluation (EBCE)

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About this role :

Wells Fargo is seeking a Senior Control Management Specialist. The Wells Fargo front line Evidence Based Control Evaluation (EBCE) team is part of the Control Management organization. This position will report to the Wealth and Investment Management (WIM) EBCE Lead within WIM EBCE and evaluate Controls that align to WIM. The WIM EBCE team evaluates whether controls are well-designed and operate effectively by assessing the design and performance effectiveness of a control when mitigating operational and compliance risks. The EBCE process is aligned to the front line Risk and Control Self-Assessment (RCSA) Program to support a proactive risk management environment in alignment with Wells Fargo’s Risk Management Framework.

EBCE’s are performed and results are documented in templates and systems of record based on applicable policies, standards, and guidance documentation. The EBCE process may involve leading, conducting, and documenting walk-through’s of controls, developing test scripts and determining the appropriate artifacts for sampling to assess the design and operating effectiveness of the control(s).

We are looking for a Senior Control Specialist to join our team. The right candidate will be responsible for leading evaluations of controls to ensure proactive self-identification of control deficiencies, providing insight into emerging risks while operating in a very dynamic manner, and connecting and building relationships with key partners. This role requires attention to detail, strong organizational skills, communication skills and the ability to collaborate with stakeholders across the business group or Enterprise. Learn more about our career areas and lines of business at wellsfargojobs.com () .

In this role, you will :

Participate in identifying, assessing, managing, and mitigating current and emerging risk exposures within Control Management functional area

Provide risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes, and business controls

Monitor moderately complex business specific programs and provide risk management consulting to support the business in designing and implementing risk mitigation strategies

Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area

Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess, and mitigate risk

Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations

Evaluate 6 controls timely and accurately per engagement. If assigned less than 6 controls, either : 1) Complete evaluations ahead of schedule 2) Proactively request level-loading assignments from Coordinator / reporting Manager

Lead walkthrough meetings, request populations, complete Design Evaluation, develop test scripts and complete Performance Testing with minimal Lead Assessor / Coordinator support, skewing towards Moderate based on control complexity

Lead communication of control-specific requests such as identifying additional walkthrough meeting attendees, requesting Control Documentation, requesting population / sample evidence, and discussing initial observations

Required Qualifications, US :

• 4 years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following : work experience, training, military experience, education

In this role, you will :

Participate in identifying, assessing, managing, and mitigating current and emerging risk exposures within Control Management functional area

Provide risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes, and business controls

Monitor moderately complex business specific programs and provide risk management consulting to support the business in designing and implementing risk mitigation strategies

Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area

Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess, and mitigate risk

Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations

Evaluate 6 controls timely and accurately per engagement. If assigned less than 6 controls, either : 1) Complete evaluations ahead of schedule 2) Proactively request level-loading assignments from Coordinator / reporting Manager

Lead walkthrough meetings, request populations, complete Design Evaluation, develop test scripts and complete Performance Testing with minimal Lead Assessor / Coordinator support, skewing towards Moderate based on control complexity

Lead communication of control-specific requests such as identifying additional walkthrough meeting attendees, requesting Control Documentation, requesting population / sample evidence, and discussing initial observations

Required Qualifications :

Desired Qualifications :

Experience evaluating the adequacy and effectiveness of policies, procedures, processes, systems, and internal controls; additional experience analyzing business and / or systems changes to determine impact.

Experience executing control evaluation test scripts to assess the design and performance of internal controls.

Ability to ask clarifying questions as needed, form judgements with consideration.

Strong listening and communications skills (both written and verbal) with the ability to convey complex information and ideas, including complex data sets, both simply and clearly.

Strong analytical skills with high attention to detail and accuracy.

Ability to build constructive and effective relationships.

Excellent verbal, written, and interpersonal communication skills.

Experience with risk types, methodologies, and frameworks for evaluating or testing controls and assessing results, conducting research, and identifying control deficiencies.

Ability to prioritize work, meet deadlines, achieve goals, and work under deadlines in a dynamic and fast paced environment.

Audit or internal controls assessment experience.

Experience working in Wealth and Investment Management and the relevant risk points in the business.

BS / BA degree or higher, or other advanced degree.

Intermediate Microsoft Office (Word, Excel

Job Expectations :

Position offers a hybrid work schedule in which you are required to work in office 3 days per week at a minimum in one of the locations listed below.

Relocation assistance is not available for this position

Visa sponsorship is not available for this position

The Control Functions adhere to a location strategy, therefore your candidacy may be determined based on your current location. Remote work locations are not available for these roles, so if you are not in a location listed on the posting, you must commit to self-relocation within an agreed upon timeframe.

Locations : Required location(s) listed below.

144039 550 S Tryon, floors 30, 39, and 41 Charlotte, NC

109667 600 S 4th St., 9th floor Minneapolis, MN

106312 150 E 42nd St., 35th floor NEW YORK New York Metro Area, NY

2710 Pine St E Bldg, SAINT LOUIS, MO 63103

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.

84,000.00 - $179,200.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs () for an overview of the following benefit plans and programs offered to employees.

Health benefits

401(k) Plan

Paid time off

Disability benefits

Life insurance, critical illness insurance, and accident insurance

Parental leave

Critical caregiving leave

Discounts and savings

Commuter benefits

Tuition reimbursement

Scholarships for dependent children

Adoption reimbursement

Posting End Date : 6 Feb 2025

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.

Req Number : R-431810

Salary : $84,000 - $179,200