Lead Financial Controls Analyst - IT General Controls (ITGC)

About this role:

Wells Fargo is seeking a Lead Financial Controls Analyst 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 IT General Controls (ITGCs) covering applications that support financial, risk, and regulatory reporting.

• Assessing compliance with Well 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:

• Lead a team of individual contributor roles in the execution of ITGC testing in support of addressing financial reporting risks

• Monitor the team’s testing status and escalate as required to ensure testing deadlines are met

• Manage team member’s schedules and the allocation of testing resources

• Consult with IT, the line of business and/or enterprise functions on financial reporting, information technology governance, and controls and oversight matters

• Identify compliance and risk management requirements for supported area

• Provide process and control support and leadership for governance and oversight related projects

• Plan, execute, or provide oversite for testing and monitoring involving complex subject matter or control areas

• Provide technical interpretation on various matters

• Communicate and provide consultation regularly with stakeholders throughout the enterprise

• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

• Lead the following IT General Control (ITGC) testing in the access to programs and data, change management, computer operations, and software development lifecycle domains:

  • Oversee walkthroughs of significant technology processes and ensure required COSO documentation is accurate and reflects relevant risk and key controls.

  • Assess the appropriateness and completeness of key risks and key controls identified

  • Validate and provide credible challenge to identified shared services, third-party service providers, and significant applications

  • Review COSO testing of key ITGCs, including design effectiveness assessments and operating effectiveness testing.

  • Analyze the severity of control deficiencies and their impact to internal control over financial reporting

• Build relationships and collaborate with key stakeholders and leaders within Technology

• Assign and review the work of Senior Financial Control Analysts

• Lead and assist with complex projects impacting the team or other lines of business, including identification of risks and consulting on controls for newly implemented processes and applications.

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 risks and controls

• Internal controls testing experience including automated controls and/or IT General Controls (ITGC)

• Experience identifying ITGCs and developing and executing test plans for ITGCs, including access to programs and data, change management, computer operations, and software development