APAC Compliance Program Execution Leader
SCORE Silicon Valley
Hong Kong, Central and Western District
1天前

Job Description

Wells Fargo has a new and exciting opportunity for an experienced compliance officer to join the APAC Compliance Department as the APAC Compliance Program Execution Leader.

The APAC Compliance Department provides compliance governance, oversight, and risk management coverage for Wells Fargo team members and lines of business in the Wells Fargo Asia Pacific (APAC) region.

Reporting to the APAC Compliance Chief Operating Officer, the key purpose of the role is to manage the execution of compliance program requirements across the APAC region, focusing primarily on compliance policy and training from an independent risk management perspective.

The role will also support the execution of Compliance program routines and other Compliance program initiatives in an effective and consistent manner, as required by the Wells Fargo Compliance Program Policy.

The role will also liaise with other Compliance teams across the Enterprise, with a focus on stakeholders across the APAC region (across all three lines of defense).

The role will require an individual with experience gained at large international financial institutions, including a deep understanding of regulatory expectations around compliance frameworks and a sound understanding of major regulators and regulations around the region that may impact Wells Fargo APAC.

Within APAC, Wells Fargo’s activities include sales and trading across multiple products, investment banking and capital markets, corporate and commercial banking, transaction banking and asset management.

The role will also support the build out of the APAC Compliance Department to support a growing business, including the enhancement of Compliance policies, procedures, processes and training across the APAC region.

Note : In addition to these functions, the team member is required to carry out such other duties as may reasonably be required.)

Market Skills and Certifications

  • Education / Experience - Educated to degree level, with extensive and proven compliance program management and governance experience gained at international financial institutions.
  • Professional qualifications in accounting, finance or law, and / or experience with a regulatory authority, are highly regarded.

  • Regulatory knowledge Good knowledge of Hong Kong, Japan, Singapore and APAC regulations and expectations of regulators on compliance risk management and governance.
  • US regulatory knowledge is desirable.

  • Product knowledge Good knowledge of a broad range of businesses including Sales and Trading, Investment Banking, Commercial Banking and Asset Management businesses.
  • Global Outlook Proven ability to work in global teams across multiple regions including APAC.
  • Team work and Leadership proven track record of working collaboratively across multiple business lines and with stakeholders and colleagues at all levels, but also of taking the lead as needs dictate.
  • Experience in motivating team members for common progress, as well as working in a matrixed environment, is essential.

  • Communication excellent interpersonal, communication (written and oral) skills are essential with an ability to liaise professionally and with diplomacy across all levels of staff.
  • Drive a self-starter who is proactive and has a demonstrated ability to drive through regulatory change.
  • Analytical skills strong analytical skills with experience in collecting, analyzing, and synthesizing information on various subjects.
  • Problem solving skills demonstrated ability to identify key issues, and obtain appropriate information for further analysis.
  • Leadership Expectations at Wells Fargo

    As a Team Member manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will :

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.
  • We Value Diversity

    At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law.

    We comply with all applicable laws in every jurisdiction in which we operate.

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