Compliance Policy & Learning Consultant
Wells Fargo
Hong Kong
3天前

Market Job Description

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.

Responsibilities

Support the management of APAC Compliance policies and applicable Enterprise (US) policies :

  • Support the development and revision of regional and local policies based on both US and local country regulatory requirements, including editorial drafting, version control, procedural records and dissemination of the policies to stakeholders for consultation.
  • Track policy reviews issued from Enterprise, Regional and local teams and coordinate consultation at the regional level.
  • Support the identification of applicable Enterprise Compliance policies for APAC and documenting the information for distribution to impacted team members
  • Monitor changes to compliance requirements and issue compliance alerts when changes in existing policies or development of new policies arise.
  • Maintain a suite of APAC Compliance policies :

  • Ensure all regional and local compliance policies are kept within a centralized system of record.
  • Maintain an inventory for all regional and local compliance policies, including their target review dates, and ensuring policies are reviewed as per the relevant schedule.
  • Communicate APAC policies to APAC team members :

  • Prepare communications to stakeholders in relation to consultation and publication of new policies or relevant updates through various channels including the regional compliance newsletter.
  • Identify Compliance training needs :

  • Support the implementation and maintenance of the regional compliance training and awareness activities program.
  • Perform training needs analysis for team members within the region by considering relevant business activities, local laws and regulatory requirements, internal policies and procedures, and other relevant factors.
  • Develop and deliver Compliance training activities :

  • Support the delivery of APAC Compliance orientation training to APAC team members
  • Liaise with Compliance team members across the bank to develop regulatory compliance training activities, ensure all the compliance training needs are covered by appropriate compliance training activities.
  • Ensure APAC Compliance training courses are assigned to all relevant APAC team members, as determined by APAC Compliance management
  • Deliver training and awareness activity communications to ensure that team members complete all assigned training activities before respective due dates.
  • Manage compliance training reporting needs and queries

  • Monitor the training completion status of team members within the region, and issue reminders to team members who do not complete the training courses before the system due date.
  • Provide training related reports to APAC Compliance and other stakeholders upon request.
  • Manage queries with respect to training assignment and technical issues with respect to the learning system, seeking support by Enterprise or regional contacts as necessary.
  • The team member will be required to support APAC Compliance management with other adhoc tasks as necessary.

    Market Skills and Certifications

    Requirements :

  • A relevant degree, with at least 4 years of experience in relevant areas such as audit or regulatory compliance gained from top tier bank or major consultancy / accounting firm (i.
  • e., banking / product knowledge is required).

  • General knowledge of the APAC regulatory environment and how these requirements apply to a business is preferred. Some familiarity with U.
  • S. banking, securities and bank holding company laws and regulations is an advantage.

  • Good project management skills, strong stakeholder management skills and the ability to think strategically, act swiftly and deliver results are essential.
  • The candidate must have expert analytical skills with experience in collecting, analyzing and synthesizing information on various subjects.

  • Strong interpersonal, communication (written and presentation) skills and organizational abilities are essential with an ability to liaise professionally and with diplomacy across all levels of staff in a clear manner.
  • Proven track record of working collaboratively across multiple business lines and with stakeholders and colleagues.
  • A self-starter who is proactive with the ability to identify key issues, and to obtain appropriate information for further analysis.
  • APAC

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