Business Risk & Controls Senior Associate
Wells Fargo
Hong Kong, Hong Kong
2天前

About the Role

The Business Risk & Controls Senior Associate will report to the Business Risk & Controls Leader for COO and Operations.

This includes key risk management focus areas such as end to end processes and evaluation of controls performed in the COO organization and Operations teams for front line processes, design and evaluation of key risk and control measures for operational processes including regulatory reporting and client onboarding, design and reporting related to quality assurance and quality control activities, and oversight of control testing activities and outcomes.

Opportunities for process improvement and control enhancement will be a critical focus area, partnering with the front office, COO, Corporate & Investment Banking and Enterprise technology teams, in order to enhance first line control effectiveness and efficiency end to end.

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 and if 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.

Market Skills and Certifications

Required Qualifications

  • University degree (Bachelor’s or equivalent)
  • 5+ years of experience in compliance, risk management (includes audit, legal, operational risk, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), regulatory examiner, or a combination of these.
  • Desired Qualifications

  • Experience with first line controls and operational processes around regulatory reporting, entitlements, electronic trading and operations processing.
  • Prior experience in process improvement, automation of control processes, quality assurance and quality control routines, and risk and control metrics and reporting.
  • Strong working knowledge of financial services businesses (ie, wholesale and commercial and correspondent banking) its products and services, and relevant risks and controls of the business.
  • Working knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.)
  • Working knowledge financial services regulatory and supervisory frameworks
  • Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner.
  • Strong analytical skills with high attention to detail and accuracy.
  • Highly professional, adaptable and pro-active mindset.
  • Ability to translate technical language into plain business language, and to translate business requirements into technology initiatives.
  • Demonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independently.
  • Technical understanding of specific business operations, processes, products, and customer interactions where they manifest risk.
  • Ability to develop high performing, diverse risk structure in a highly matrixed environment.
  • Ability to assess and determine when to raise concerns and escalate.
  • Pro-actively resolve conflict and maintain objectivity.
  • Ability to conceptualize, develop, and deliver quality analysis and highly-actionable actionable management information.
  • Demonstrated capacity to pro-actively and independently analyze and solve problems and address risks.
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