Compliance Consultant – Investment Banking Capital Markets Compliance, Asia-Pacific
Wells Fargo
Hong Kong Hong Kong

Market Job Description

We are now looking for an experienced professional to join our Compliance function in Hong Kong and provide broad-ranging Compliance support for our Wells Fargo Securities’ Investment Banking Capital Markets business in Asia-

Pacific (primarily supporting the Debt Capital Markets, Mergers & Acquisitions, Real Estate Investment Banking and Asset Backed Finance).

The successful candidate will be intimately involved in advising the relevant business lines and developing and maintaining an effective control framework and regime designed to identify, manage and mitigate Hong Kong, Japan and Singapore regulatory risks.

This position offers the opportunities and challenges presenting themselves when establishing and enhancing a compliance management infrastructure, program and culture to align with the expansion in Asia-

Pacific of successful Wells Fargo Investment Banking and Capital Market business.

Responsibilities include :

  • Developing, maintaining and enhancing an effective Compliance and Risk infrastructure in Hong Kong and other Asia-Pacific jurisdictions 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 surveillance and monitoring programs for the Investment Banking and Capital Markets business;
  • discussing findings or issues and remedial action with business lines; undertaking ad hoc issue escalation and periodic reporting to senior management.

  • Acting as the on point compliance person 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.
  • Leading the response to Compliance and Risk monitoring and testing initiatives, internal audits and external regulatory exams in relation to Investment Banking and Capital Markets business.
  • Developing and delivering Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements.
  • Market Skills and Certifications

    The ideal candidate will have :

  • Relevant university degree with 10 years of working experience and minimum of 5 to 7 years of relevant product compliance experience gained in an international financial center.
  • Legal or regulatory background viewed advantageously.

  • Must have deep understanding of regulatory issues relevant to Investment Banking and Capital Markets in Hong Kong, Japan and / or Singapore.
  • Some familiarity with equivalent securities laws and regulations in other Asia-Pacific jurisdictions, and U.S. securities and bank holding company laws and regulations desirable.

  • Good understanding of the operation and the conduct of Investment Banking and Capital Markets business in Hong Kong, Japan and Singapore and on a cross-border basis.
  • Good understanding of the purpose and importance of effective regulatory oversight, risk management and corporate governance.
  • Ability to identify risks and advise on, promote, develop and implement suitable controls, policies and procedures to effectively monitor and mitigate those risks.
  • 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.
  • Ability to influence stakeholders outside of immediate span of control.
  • 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 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.


    通過點擊“持續”,我允許neuvoo同意處理我的數據並向我發送電子郵件提醒,詳見neuvoo的 隱私政策 。我可以隨時撤回我的同意或退訂。