Senior Audit Manager – APAC Region

  • Competitive
  • Hong Kong
  • CDI, Plein-temps
  • Wells Fargo Bank
  • 20 oct. 17 2017-10-20

Great opportunity to join our HK-based Regional Audit team

About Wells Fargo
Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $2.0 trillion in assets. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 8,500 locations, 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 42 countries and territories to support customers who conduct business in the global economy. With approximately 273,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 25 on Fortune’s 2017 rankings of America’s largest corporations. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.

Department Overview
Wells Fargo Audit Services (WFAS) is a provider of independent, objective, and advisory services delivered through a highly professional and diverse team. The primary function of WFAS is to determine if the company’s risk management, systems of control, and governance processes are adequate and functioning as intended.  As a business partner, WFAS makes significant contributions to protecting the value of Wells Fargo’s corporate assets. 

Responsibilities
We are seeking a highly qualified individual to serve as our Senior Audit Manager for the APAC Region. The ideal candidate will have ample experience working in a multi-national financial institution, be a self-starter, and a clear communicator with all levels of management. The candidate will need to work independently and proactively with a wide range of business leaders, regulators, and other stakeholders. More specifically, the candidate should be able to:

  • Influence and partner with multiple levels of management while maintaining internal audit standards of independence and objectivity.
  • Represent Internal Audit in local governance committees and act as the registered control function manager under applicable law.
  • Identify existing and emerging risks and successfully translate these into an actionable audit plan that meets the expectations of WFAS, the Board of Directors, and regulators. 
  • Deliver assigned section of the audit plan and other defined responsibilities while adhering to internal procedures and audit methodology.
  • Lead audit teams in the planning and execution of complex assurance and/or project audits spanning across multiple disciplines.
  • Support scheduling activities across WFAS groups to ensure efficient use of global resources.
  • Partner with other WFAS groups to successfully deliver on regulatory requests.
  • Provide mentoring and feedback to position audit staff for growth and advancement.
  • Manage local audit department operations including space planning, team member engagement, volunteering initiatives, training, etc.

The Senior Audit Manager will also be expected to participate in strategic and tactical projects with personnel located in Europe and the Americas. To this effect, the ideal candidate must exhibit strong leadership and critical thinking skills, resourcefulness, and cross-cultural awareness.

Requirements:

  • 10+ years of work in a relevant discipline (audit experience in internal audit and/or external audit or demonstrated comparable experience as a risk or compliance professional responsible for assessing risk and control environments in a financial services setting.)
  • Knowledge of audit methodologies and tools that support audit processes.
  • Knowledge of banking regulatory/supervisory frameworks and relevant products (securities, import/export finance, correspondent banking, lending, asset management, trust, etc.).
  • Ability to travel to the United States and within regional financial hubs.
  • Willingness to work flexible hours to support interactions with US and Regional counterparts.
  • Ability to work and reside in Hong Kong.
  • No impediments to Regulatory Approvals (senior management functions) across the APAC region.
  • Experience managing direct reports.

Preferred Skills 

  • Strong leadership, relationship building, and collaboration skills and ability to operate in a team-oriented culture
  • Experience in building effective partnerships with multiple stakeholders at all levels within the organization
  • Ability to successfully operate in a complex and matrixed environment
  • Ability to discern and evaluate risk oversight and influence risk management practices
  • Experience interacting with financial services regulatory authorities.
  • Experience leading a successful organization, including attracting, mentoring, retaining and promoting talented and productive staff
  • Excellent verbal, written, and interpersonal communication skills
  • Solid problem solving and analytical skills with high attention to detail and accuracy
  • Advanced/graduate degree.
  • Relevant professional certification (CIA, CISA, CPA, ACCA, Securities License, etc.).

Team members 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.

Applications received will be kept confidential and used for employment purposes only. Applicants who are not contacted within 8 weeks may consider their applications unsuccessful. The Bank will retain their applications for a maximum of one year and may refer suitable applicants to other vacancies within the Bank.