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Senior Compliance Specialist

  • Governance & Controls
  • Full time
  • R-237100

In this role, you will:

  • Assist in developing, implementing and maintaining an effective Compliance and Risk infrastructure in Hong Kong 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 risks
  • Assist in implementing and administering Compliance Risk control systems and procedures and monitoring programs for Wells Fargo’s activities in Hong Kong; discussing findings or issues and remedial action with business line, legal entity and enterprise management; undertaking ad hoc issue escalation and periodic reporting to management
  • Providing comprehensive Compliance and Risk advisory support for current and new or modified business initiatives and in any development, integration or rationalization of activities in Hong Kong. Leading related ad-hoc projects
  • Assisting Wells Fargo in Hong Kong meet all local or US legal and regulatory requirements and Wells Fargo enterprise and business line standards and requirements
  • Interacting with Hong Kong Monetary Authority with respect to meetings, inquiries, regulatory changes, licensing, ongoing conduct and reporting requirements, and new or modified business initiatives; leading the local response to Compliance and Operational Risk monitoring and testing initiatives, internal audits and external regulatory exams
  • Disseminating information concerning regulatory developments impacting Wells Fargo in Hong Kong, with necessary interpretation and impact assessment; developing and delivering Compliance Risk training to enhance awareness and knowledge of applicable laws and regulatory requirements and Wells Fargo enterprise or business line policies and procedures

Required Qualifications:

  • Relevant university degree and minimum of eight years of relevant experience gained in an international financial institution.  Banking or regulatory background viewed favorably
  • Some knowledge of laws and regulations of Hong Kong relevant to Wells Fargo’s banking activities. Some familiarity with U.S. banking and Hong Kong Monetary Authority ("HKMA")  regulations
  • Some understanding of the general operation of international financial markets, international trade, and the conduct of business on a cross-border basis
  • Some understanding of the purpose and importance of effective regulatory oversight, risk management and corporate governance
  • Some understanding of full service global financial institution, knowledge of financial products/services offered by Wells Fargo, including features and life-cycle and a general understanding of how these businesses operate, desirable
  • Ability to identify Compliance 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 management of changes in the regulatory and compliance environment and design and implement appropriate Compliance and Operational Risk solutions
  • Experience of providing timely and prudent counsel and advice involving Compliance issues and solutions
  • Qualities of character to build and maintain strong relationships with key stakeholder groups, including senior management, Compliance and Risk team members, internal auditors and regulators / examiners; ability to influence stakeholders outside immediate area of control
  • Excellent oral, presentation and written communication skills; self-motivated; confidence to communicate pro-actively 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, age, 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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