About this role:

The Independent Testing and Validation Team supporting Finance coverage is seeking a Senior Lead Independent Testing Officer with subject matter expertise to support the testing and validation of Finance & Accounting activities including but not limited to COSO/SOX/FDICIA/Broker-dealer reporting requirements, legal entity accounting, recovery/resolution planning and related BCBS 239 requirements.

In this role, you will:

• Provide testing support to the testing program through overseeing review activities, identifying and reporting of issues, and validation of corrective actions to ensure regulatory compliance for multiple reviews at once, covering complex risk and control topics.
• Leads complex, cross-functional regulatory and audit exams within tight timeframes.
• Develops executive-level responses in partnership with Legal, Reg Relations, IRM partners, Audit, front line and others.
• Work with assigned business units and provides compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in all business activities.
• Exercise effective communication and promotes positive client relations with business line team members and management.
• Facilitate an efficient and valued review process. Ensure Associates and Sr. Associates executing testing thoroughly document and succinctly write test work summaries and review activity reports.
• Ensuring issues are identified and documented appropriately and escalates any critical or high-risk issues to appropriate leadership.
• Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy, and procedures concerning all compliance functions reviewed.
• Subject matter expert on testing topics, risk types, line of business process walkthroughs, test results, quality assurance, researching, and issue identification.
• Provides transparency through regular status updates to IT&V Senior Leaders, Internal Audit, other internal risk, and line of business stakeholders.
• Keep abreast of regulatory changes and issues affecting the testing program.

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

• Experience testing broker-dealer financial regulatory reporting requirements
• Knowledge of recovery and resolution planning requirements for GSIBs
• Big Four/super regional public accounting firm experience in business process, regulatory, or compliance audits and/or business process, regulatory, or advisory/consulting service
• Exposure to bank financial reporting requirements, such as familiarity with legal entity accounting, Broker-dealer capital and bank CCAR related processes
• Foundational understanding of Finance and Risk functions and related supervisory expectations for large financial institutions
• Strong knowledge of the COSO Framework and Risk & Control Self-Assessment (RCSA) programs
• Experience assessing and executing on BCBS 239 requirements
• Experience providing reporting and updates to senior level management
• Ability to effectively communicate, verbal and written, with various levels of management, including senior leaders and executives
• Demonstrated success influencing business units to identify, formulate and implement processes/procedures to mitigate risk
• Demonstrated negotiation skills, especially with difficult topics which includes the willingness and ability to question decisions, understand direction and escalate issues, where necessary

• 401 S. Tryon Street - Charlotte, North Carolina
• 250 E. John Carpenter Frwy - Irving, Texas
• 600 Wells Fargo - Minneapolis, Minnesota
• 114 N Beaumont St. Bldg D - Saint Louis, Missouri
• 1150 W. Washington - Tempe, AZ
• 800 S. Jordan Creek Pkwy - West Des Moines, Iowa

• This position currently offers a hybrid work schedule
• Ability to work at one of the approved locations in the job posting