Compliance Operations Consultant

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

Responsible for providing Compliance oversight and coordination for the international marketing and communications review process, international travel application process, complaints and other related Compliance processes.

Responsibilities:
•Develop and execute an appropriate model for enhanced oversight of the international marketing and communications review process, international travel application process and monitoring, complaints and other related compliance processes
•Perform initial screening of the marketing/communication materials and international travel requests for completeness and applicability
•Ensure timely reviews by Compliance team members
•Develop and report non-compliance to senior management monthly. Such non-compliance shall include late or post international travel request applications, abusive pattern of rush requests by the same team members, etc. 
•Review, advise and recommend/implement improvements on existing operating processes and ensure the APAC region adheres to relevant regulations, policies and procedures
•Work closely with other members of Compliance team and relevant parties to support international and regional compliance projects
•Other duties as required within the Compliance team
 
Requirements:
•5 years of relevant experience preferably in area of compliance or legal in finance industry
•Strong communication skills in English, both written and verbal
•Goal oriented, ready to take initiatives, be able to build consensus and be willing to undertake a variety of roles with the Compliance team as required
•Ability to work independently