Lead Compliance Officer
Wells Fargo
Hong Kong, Hong Kong
5天前
source : eFinancialCareers

In this role, you will :

  • Developing, maintaining and enhancing an effective Compliance and Risk infrastructure in Hong Kong and other jurisdictions in Asia (ex-Japan) to accommodate applicable legal and regulatory requirements and Wells Fargo enterprise or line of business policies with a view to identifying, assessing and mitigating compliance and risks
  • Implementing and administering Compliance and Risk control systems and procedures and monitoring programs for markets businesses;
  • discussing findings or issues and remedial action with business line; undertaking ad hoc issue escalation and periodic reporting to senior management

  • Providing comprehensive Compliance and Risk advisory support for current and new or modified business initiatives and in any development, integration or rationalization of markets business activities in applicable jurisdictions
  • Interacting with regulatory authorities with respect to general enquiries, licensing, ongoing conduct and reporting requirements, and new or modified business initiatives;
  • leading the response to Compliance and Risk monitoring and testing initiatives, internal audits and external regulatory exams

  • Developing and delivering Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements
  • Required Qualifications, International :

  • Relevant university degree and minimum of five (5) years of relevant experience gained in an international financial centre.
  • Legal or regulatory background viewed advantageously

  • Proficient knowledge of securities laws and regulations in Hong Kong. Some familiarity with equivalent securities laws and regulations in other Asian jurisdictions, and U.
  • S. securities and bank holding company laws and regulations desirable

  • Proficient understanding of the general operation of international financial markets and the conduct of business on a cross-border basis
  • Advanced understanding of the purpose and importance of effective regulatory oversight, risk management and corporate governance
  • Proficient understanding of full service global financial institution, including bank and securities operations, and knowledge of financial products / services offered by Wells Fargo, desirable
  • Advanced ability to identify Compliance and risks and advise on, promote, develop and implement suitable controls, policies and procedures to effectively monitor and mitigate those risks
  • Advanced ability to identify and advise business line management of changes in the regulatory and compliance environment and design and implement appropriate Compliance and Risk solutions
  • Advanced ability to influence stakeholders outside of immediate span of control
  • Proficient in adopting new methods, tools and technology to enhance effectiveness, in the provision of guidance from the perspective of across the organization and in being able to develop core and common tools in support of regulatory and efficiency change management.
  • Excellent oral, presentation and written communication skills; self-motivated; confidence to communicate proactively and effectively with peers and senior management;
  • ability to manage to a set of deadlines and deliverables with limited supervision.

    We Value Diversity

    At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

    Employees 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.

    Candidates applying to job openings posted in US : All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

    Candidates applying to job openings posted in Canada : Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities.

    Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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