APAC Enterprise Functions Compliance Officer
SCORE Silicon Valley
Hong Kong, Central and Western District

Job Description

The APAC Enterprise Functions Compliance (EFC) Officer will oversee and execute EFC activities across the APAC region, including management of regulatory changes and oversight of Enterprise Functions regulatory requirements managed by other Risk groups.

The role will also support the creation and support of Legal Entity Compliance risk assessments for the APAC region, and work across the enterprise, requiring relationships with various key stakeholders including Enterprise Functions Compliance, Finance, Legal, Corporate Risk, Human Resources, and Technology.

The role will drive consistent processes for end-to-end assessment and management of specific regulatory compliance risks in the APAC region and across the enterprise enabling Wells Fargo to demonstrate compliancewithapplicable laws, rules, and regulations.


The APAC EFC Officer strives to fosteranenvironmentthat ensures strong communication and cooperation among the three lines of defense and sustains a strong risk culture thatidentifies and providesoversight and escalationofexisting and emerging complianceriskexposures across business groups,legalentities, geographies, and jurisdictions.

The roleisaccountablefor coordinating with Enterprise Functions and LOB Compliance teams to ensureappropriate Compliance Coverage and Compliance Program execution for allenterprise functions, including Enterprise Finance, Technology and Data, CorporateRisk, Human Resources and Stakeholder Relations.

This will include, in coordination with compliance officers in EFC and other functions, coverage of :

  • Managing the EFC requirements of the Compliance Program in the APAC region
  • Managing or oversight (as appropriate) of those APAC Region Major Compliance Requirements (MCR) that relate to Enterprise Functions
  • Providing oversight for Enterprise Control Activity in the APAC region relating to Accounting and Reporting (including Tax), Human Resources, Legal, and Data; and
  • Supporting the APAC Compliance Department with producing a single regulatory view of APAC Region Compliance risk (inclusive of EFC).
  • The APAC EFC Officer will also support :

  • Regulatory change management;
  • Major Compliance Requirement Evaluations;
  • Control identification and / or development;
  • Credible challenge of business process management;
  • RCSA;
  • New business initiatives and product management;
  • Annual Compliance plan;
  • Compliance Aggregated Risk Assessment (CARA);
  • Compliance executive reporting;
  • Compliance monitoring coordination; and
  • Compliance issue management and escalation.
  • Market Skills and Certifications

  • Leadership, integrity, and credibility will be determining factors in selection. The successful candidate will be articulate and possess a demonstrated leadership capability;
  • the candidate will be impressive in inter-personal effectiveness and accomplishments. It requires a leader with strong relationship management, influencing, vision and execution skills.

    A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment.

    The role requires a sense of urgency, passion for results, and personal accountability for achievement.

    Required Qualifications

  • 10+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both;
  • or 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both.

    Desired Qualifications :

  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • Education : A BSC / BA degree or higher
  • Knowledge / Skills / Ability to prepare presentations, management reporting, and statistical analysis
  • Other qualifications :

  • Demonstrated experience working with banking regulations and / or prudential regulatory guidance.
  • Demonstrated experience with regulatory change management, including monitoring new regulations or changes to existing regulations to determine impact.
  • Experience in identifying and assessing emerging regulatory compliance risk associated with Enterprise Functions.
  • Experience communicating with financial services regulators and or internal audit.
  • Ability to integrate end-to-end business process knowledge and assessment into oversight activities.
  • Experience with conducting risk assessments - assessing the adequacy of policies, procedures, processes, and compliance and operational controls in a significantly large and complex organization.
  • 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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