Market Job Description
The APAC Compliance Surveillance team monitors the sales and trading activities conducted by Corporate Investment Bank as well as undertake the surveillance of electronic communications and audio communications of in-scope employees.
The position reports into the APAC Compliance Surveillance Lead and will work closely with Wells Fargo Compliance teams (including regional surveillance teams), Technology, businesses (including Business Controls), and Internal Audit.
- Timely analysis and resolution of trade surveillance alerts to identify any high risk or suspicious trading activities across different asset classes.
- Conduct electronic communication and audio surveillance to identify potential non-compliance with laws, regulations, and Compliance policies.
- To support the APAC Compliance Surveillance Lead in Enterprise and Regional Surveillance projects as well as ongoing enhancements/initiatives.
- Liaise with the regional surveillance teams and other stakeholders, e.g. Technology to conduct UAT/testing of strategic surveillance platforms.
- Where required, perform targeted or deep dive investigations to identify potential compliance and conduct risk issues, including market abuse, market manipulation, trading on insider information, unlawful disclosure and market or personal conduct breaches.
- Assist in the update/enhancement of APAC Compliance Surveillance policies and procedures
- Assist in the preparation of periodic management information reports (MI) on surveillance.
- Assists in audits and inspections where required.
- Support and provide guidance to more junior members within the APAC Compliance Surveillance team.
Market Skills and Certifications
- Degree holder, with preferably 7 years of relevant working experience in the financial services industry.
- Strong knowledge of FX, Fixed Income securities and/or derivatives products.
- Experience in using/implementing trade surveillance tools (either in-house or third party vendor)
- Analytical skills – the candidate must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects.
- Problem solving skills – the candidate must demonstrate the ability to identify key issues, and obtain appropriate information for further analysis.
- Communication - excellent interpersonal, communication (written and oral) skills are essential with an ability to liaise professionally and with diplomacy across all levels of staff.
- Proficiency in English; fluency in Cantonese an advantage
- Highly IT literate - including Microsoft Excel, Access, Word, PowerPoint and other reporting tools but also able to understand use of technology for improving the regulatory control environment.
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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