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APAC Communications Surveillance - Lead Business Accountability Specialist

About this role:

Wells Fargo is seeking a Lead Business Accountability Specialist (VP) to join our Corporate and Investment Banking (CIB) Market Conduct and Supervision team.  Learn more about our career areas and lines of business at wellsfargojobs.com.


In this role, you will:

  • Conduct surveillance of employee electronic and voice communications to identify potential regulatory and conduct risks.

  • Work with Colleagues, Compliance and/or Business Supervisors to research and resolve risk escalations.

  • Support the reporting, escalation, and timely remediation of issues, deficiencies and/or risks.

  • Assist in further developing the communications surveillance program as well as other supervisory initiatives as they come up.

  • Act in a Team Lead capacity guiding other more junior members of the team supporting the overall success of the Firm’s Communication Surveillance Program.


Required Qualifications:

  • 5+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following:  work experience, training, military experience, education


Desired Qualifications:

  • Strong analytical skills with high attention to detail and accuracy.

  • Excellent verbal, written and interpersonal communication skills.

  • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry.

  • In-depth understanding of Corporate & Investment Banking’s Businesses, products, key financial and non-financial risks and controls.

  • Prior experience conducting risk surveillance.

  • Experience reading, analyzing, and interpreting written communications.

  • Written/verbal language fluency in English as well as Cantonese, Mandarin, Korean and/or Japanese.

Posting End Date: 

4 Aug 2024

*Job posting may come down early due to volume of applicants.

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, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

 

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.


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