Regulatory Counsel, APAC
SCORE Silicon Valley
Hong Kong, Central and Western District

Position Overview

  • Provision of legal regulatory advice to both the banking and markets / capital markets business in the Asia-Pacific region, with particular emphasis on the following areas : banking platform, lending, trade and trade finance, capital markets (debt, fixed income, M&A), derivatives, structured finance and credit transactions;
  • Responsibility for addressing regulatory issues and dealing with regulators;
  • Assisting clients in developing and executing their strategies and objectives; and
  • Providing legal advice across a range of issues to APAC management.
  • Responsibilities

  • Providing local law advice and counsel on cross-border and in country regulatory issues for the APAC region;
  • Working independently with business units to help develop and execute their business strategies and objectives, particularly in obtaining requisite approvals from Head Office committees
  • Advising on licensing and conduct regulations in various jurisdictions;
  • Lead and engage in projects of a regulatory nature in the APAC region;
  • Working with regional and Legal Department stakeholders on dealings with regulators in the APAC region;
  • Providing legal advice on compliance policies, advising and working with Compliance Department as appropriate
  • Communicating regularly and co-ordinating with Head Office Law Department, in particular adhering to policies and procedures in retaining and managing external counsel relationships and all related legal expenses, particularly on transactions
  • Consulting with and advising clients and representing the Wells Fargo in dealing with others inside and outside the organization, as appropriate
  • Keeping other Law Department and line of business colleagues updated on law developments and their impact on Wells Fargo’s businesses in the Asia-Pacific region
  • Market Skills and Certifications

    Requirements :

  • Duly qualified lawyer admitted to practice law in Hong Kong, England, the United States or other common-law jurisdictions, possessing circa 10 years of experience practising law with a major law firm or financial services organisation
  • Substantial experience in Asia representing international financial institutions on cross-border transactions and regulatory issues
  • Good technical knowledge of markets and relevant laws (securities, derivatives, lending etc.) with respect to lending, trade finance, capital markets, securities, derivative, structured finance and similar products
  • Ability to manage projects and work with multinational and multidisciplinary project teams
  • Excellent drafting, negotiation and organisation skills
  • Flexible, collaborative, proactive, creative and entrepreneurial approach
  • Preferred skills :

  • Knowledge of US securities laws and banking regulations (and how they impact global coverage models) would be useful
  • Fluency in Chinese language (read and write) an advantage
  • 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.

    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.


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