Wells Fargo

APAC Conduct Risk & Compliance Senior Officer (BB-B84C9)

Found in: Neuvoo HK


Job Description


  • As the regional conduct risk lead, participate in the Enterprise Conduct Risk working groups as the primarily representative for Regional Compliance
  • Establish and maintain a conduct risk management oversight program in APAC, leveraging the enterprise approach where possible, and ensure any local regulatory requirements and expectations are incorporated into the program
  • Work in partnership with Regional Control and other relevant stakeholders to develop regional standards and procedures designed to implement the relevant conduct risk management activities
  • Provide advisory support to branch, entity or representative office compliance officers as they oversee local execution of conduct risk management activities in compliance with any relevant local conduct-related regulatory requirements or expectations
  • Engage in ongoing communications with APAC stakeholders, particularly APAC Compliance management and APAC senior management, on the status of the Conduct Risk Program, escalating issues where required
  • Active participation in industry forums on conduct risk across APAC, and advise regional leadership of relevant industry trends and emerging risks
  • Risk Reporting
  • In consultation with Compliance management, develop risk based conduct risk related reporting per the Compliance Program Policy and associated requirements

  • Regulatory Awareness
  • The APAC Conduct & Compliance Senior Officer will be a member of the APAC Regulatory Development Forum, and will actively participate in the forum in order to ensure relevant conduct risk regulatory developments, supported by APAC Compliance team members, are reflected in Wells Fargo’s internal system of record, where appropriate
  • Maintains an up-to-date and informed understanding of conduct risk regulatory developments and their impact to Wells Fargo’s business activities in the APAC region
  • Internal Investigations
  • Support APAC Compliance management with undertaking conduct-related internal investigations, partnering with other functional teams as necessary

  • Market Skills and Certifications

  • Relevant university degree and a minimum of ten years of relevant experience gained in an international financial center. Legal and regulatory background viewed favorably
  • Relevant professional certifications or qualifications (e.g., legal, compliance, project management, risk management)
  • Good general knowledge of banking laws and regulations in Asia, particularly those relating to conduct and regulatory compliance. Some familiarity with US banking and bank holding company laws and regulations is desirable
  • Excellent understanding of the operation of international financial markets and the purpose and importance of effective regulatory oversight, risk management and corporate governance
  • Good understanding of full service global financial institution and knowledge of financial products is desirable
  • Proven track record of working collaboratively across multiple lines of business and with stakeholders and colleagues at all levels, but also capable of taking the lead as needs dictate. An ability to motivate team members for common progress is essential
  • Excellent oral, presentation and written communication skills; confidence to communicate proactively and effectively with peers and senior management
  • Ability to work independently with minimal direction in a highly matrixed, fast-paced environment

  • calendar_today4 days ago


    location_on Hong Kong

    work Wells Fargo

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