APAC Compliance Regulatory Examination Consultant

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Wells Fargo Bank
  • 12 Nov 18

The APAC Compliance Examination Consultant plays an integral part in supporting Wells Fargo’s ability to meet its regulatory compliance obligations and commitments, with a specific focus on compliance regulatory examination and audit management.

Regulatory examination and internal audit management
•Serve as a main contact and liaison on regulatory examinations, internal audit and review activities, across all businesses and shared services in Wells Fargo APAC, coordinating with all levels of stakeholders to obtain required regulatory compliance-related information and address any inquiries on a timely basis
•Document and track relevant information in Wells Fargo systems, ensuring such information is complete and accurate
•Develop and maintain APAC regional policies and procedures on regulatory examinations and interactions
•Prepare status updates, reports and other management information for APAC management and stakeholders internationally
•Receive, summarize and socialize directives from international risk and compliance stakeholders on regulatory examinations with APAC management
•Support APAC management with attendance of meetings with regulators, as directed

Compliance issues management
•Act as the coordinator for all APAC Compliance-owned issues and corrective actions, and ensure relevant issues are recorded and appropriately maintained in the Wells Fargo system of record
•Support APAC Compliance management with early identification of issues and ensuring such issues and associated corrective actions are recorded, including socialization of proposals with relevant stakeholders
•Take a lead role with the preparation of documentation to substantiate closure of APAC Compliance-owned issues and corrective actions

Regulatory awareness and compliance reporting
•Undertake periodic monitoring of regulatory developments from a regulatory intervention perspective across APAC jurisdictions and report to APAC Compliance management as necessary
The candidate is required to provide other ad-hoc support to APAC Compliance management as directed.
 
Qualifications
•Relevant experience, preferably 5 years + Compliance or Legal experience in a global financial institution, a bank, and/or a broker dealer. Professional legal/accounting/finance qualifications highly regarded.
•Strong communication skills, both written and verbal.
•Strong technology skills, experience in Microsoft SharePoint and Microsoft Visio highly regarded.
•Ability to quickly learn business processes, including Risk Management/Compliance policies and procedures.
•High degree of initiative and strong ability to meet key responsibilities with limited direction and oversight.
•Strong relationship building, and collaboration skills, with proven experience working with senior management and/or regulators.
•Strong interpersonal skills and ability to deal effectively with senior management and team members at all levels.
•The ability to work unsupervised and meet deadlines.
•Strong organizational and time management skills, with the ability to manage multiple responsibilities and tasks simultaneously.
•Reliability, conscientiousness and ability to produce work of a high quality.