Financial Crimes Risk Management (Investigator) (45)

Major Bank, is looking for talented people who will put our customers at the center of everything we do.We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.Help us build a better Bank.It all begins with outstanding talent.It all begins with you.About this role: Major Bank is seeking an Independent Testing Senior Manager in Independent Testing & Validation (IT&V) as part of Corporate Risk.

Learn more about the career areas and lines of business The Independent Testing and Validation(IT&V) team is responsible for the development and design of methodologies and standards for review activities across the Enterprise in alignment with the Risk Management Framework, and ensuring effective and appropriate testing, validation, and documentation of review activities for risk programs, risks, and controls according to standards and other applicable policies.This role will be for a Senior Manager under Financial Crimes Risk Management (FCRM) Independent Testing Validation, reporting directly to the Head of FCRM ITV.

The Senior Manager will be responsible for overseeing, providing coverage and leading Reviews and Issue Validations across multiple Lines of Business (LOB) and be able to support the Risk and Control Self-Assessment (RCSA) efforts as part of the FCRM ITV Annual and RCSA Plan.This role will be overseeing multiple engagements and teams at a given time, including day to day operations for those FCRM ITV members aligned to these reviews including international resources; and directly supporting the Head of FCRM ITV on other initiatives as needed.

In this role, you will:

• Lead a high-performing team of testing and validation professionals with subject matter expertise in varying functions performed throughout CB and CIB.
• Support development and maintenance of the Annual Test Plan, and escalate any delays, at-risk or past due reviews with engagement leadership.
• Provide governance and oversight for engagement planning, execution and reporting, and own stakeholder communications.
• Oversee consultations with key front line and second line stakeholders to understand business/control environment, emerging risks, and issue trends.
• Ensure teams execute testing and validation in an effective manner with high quality, according to IT&V Standards and Procedures and other applicable policies.
• Manage allocation of people to ensure adherence to role utilization targets.
• Oversee engagement execution, issues disposition, and action plan challenge activities providing support and guidance to the engagement team.
• Provide thoughtful credible challenge internally and to lines of business, cross-enterprise and across other corporate risk programs.
• Conduct detailed work-paper documentation reviews to ensure that quality standards are met and provide for an effective audit trail.
• Instill and maintain focus on execution quality producing deliverables within minimal rework and ownership and pride of work product output.
• Deliver ongoing updates to key business stakeholders on the status of the program and on specific reviews.
• Review and approve engagement-level reporting, communications, and oversee appropriate distribution, retention, and archival in accordance with IT&V Standards and Procedures.

Required Qualifications, US:

• 6+ years of Independent Testing, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 3+ years of Management experience

Desired Qualifications:

• 6+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, business process management) or 9+ years of financial services industry experience, of which 7+ years must include direct experience in risk management; 3+ years of management experience.
• Extensive knowledge on Financial Crimes areas including anti-money laundering (AML), Know Your Customer (KYC), Sanctions/Office of Foreign Asset Control (OFAC) and Foreign Corrupt Practices Act (FCPA).
• Extensive experience designing and executing enterprise testing and validation programs, including the development of consistent standards and testing methodologies for compliance and operational risk testing, including RCSA.
• Experience supporting large complex business processes and initiatives across diverse lines of business within a bank or financial institution, products and services.
• Understanding of law, rules and regulations regarding Financial Crimes that are integral and impacting the lines of business and products and services in scope.
• Expert-level knowledge of industry standards and best practices around monitoring, testing, assurance, and risk management processes, especially Financial Crimes related processes.
• Mature understanding of the ever-evolving governance and regulatory environments.
• Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives and experiences.
• Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results.
• Effective communicator, both orally and in writing, able to ask well-crafted questions and present ideas in a clear and compelling manner, good listener
• Ability to develop and articulate sound proposals to key stakeholders, and an ability to influence and drive timely decision making.
• Proven ability to cultivate relationships and collaborate with multiple stakeholders and constituencies, including business leaders, legal, audit and multiple U.S. and non-U.S. regulators.
• Proven ability to build and lead high-performing teams, ensuring proper staffing and expertise, and manage the establishment of major policies and relevant compliance programs across major business divisions within a large and complex organization.
• Skilled in anticipating change, adjusting behavior to effectively handle rapid change, and the ability to adjust behavior to remain resilient through ambiguity or setbacks.
• Experience in leading others through change in order to proactively adapt.
• Adaptable to new methods, tools, and technology
• Ethical integrity and proven ability to serve as a role model by reinforcing and demonstrating to your employees the core values and behavioral expectations contained in Wells Fargos Vision, Values & Goals.

One or more of the following certifications is desired:

• Certified Anti-Money Laundering Specialist (CAMS)
• Certified Financial Crimes Specialist (CFCS)
• Certified Information Systems Auditor (CISA)
• Certified Internal Auditor (CIA)
• Certified Public Accountant (CPA)
• Certified Regulatory Compliance Manager (CRCM)
• Certified Risk and Compliance Management Professional (CRCMP)
• Certified Risk Professional Program (CRP) For Testing and Validation Positions Only