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  • Charlotte, NC

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Audit Compliance Consultant

Signature Consultants • Charlotte, NC

Posted 1 day ago

Job Snapshot

Full-Time
Degree - 4 Year Degree
Banking - Financial Services
Banking
0

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Job Description

Audit Compliance Consultant Summary:

Signature Consultants and our client's Wholesale Group Risk Office (WGRO) has an exciting opportunity on the Testing Execution Team. This position is for an Audit Compliance Consultant who will be responsible for supporting the execution of regulatory compliance testing within the Wholesale Bank.

Responsibilities:

  • Working with complex lines of business to execute required regulatory compliance testing in accordance with Regulatory Compliance Risk management (RCRM) policies and procedures
  • Complete validation coverage activities to assess the adequacy of corrective actions that address the risk and control issues identified by regulators, WFAS, or compliance testing examinations
  • Provide credible challenge and evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls while maintaining professional independence throughout the testing engagement
  • Document end to end process flows including dependencies, controls, inputs/outputs, systems, gap identification, etc.
  • Report findings and provide recommendations to key stakeholders
  • Provide compliance expertise and potential solutions to identified gaps and associated risks as applicable to the lines of business

Requirements:

  • The ability to quickly learn different processes across multiple lines of business
  • The ability to effectively communicate with stakeholders
  • 2+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both
  • 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field
  • Intermediate Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • Ability to work effectively, as well as independently, in a team environment
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Current or previous experience in Wells Fargo's Corporate Risk group
  • Experience executing detailed test instructions, deciphering complex documentation, and conducting quality assurance reviews to assess controls or process effectiveness
  • Execution of risk and/or process assessments
  • Individual accountability in a highly complex, changing, and fast paced environment
  • Experience building a control validation program
  • Experience auditing or testing an institutional broker dealer/investment bank subsidiary of a bank holding company


About Signature Consultants, LLC

Headquartered in Fort Lauderdale, Florida, Signature Consultants was established in 1997 with a singular focus: to provide clients and consultants with superior staffing solutions. For the seventh consecutive year, Signature was voted as one of the "Best Staffing Firms to Work For" and is now the 14th largest IT staffing firm in the United States (source: Staffing Industry Analysts). With 26 locations throughout North America, Signature annually deploys thousands of consultants to support, run, and manage their clients' technology needs. Signature offers IT staffing, consulting, managed solutions, and direct placement services. For more information on the company, please visit www.sigconsult.com.

Job ID: 230757
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