Vice President, Compliance

2 months ago

Hong Kong, Hong Kong SAR China Wells Fargo Full time
We are looking for an experienced professional to join our Compliance function in Hong Kong and provide primary Compliance coverage for our APAC Investment Banking and Capital Markets business (including Debt Capital Markets and Mergers & Acquisitions) as well as secondary support to APAC Markets business. The candidate will be intimately involved in advising the relevant business lines and maintaining an effective risk management and control framework to identify, manage and mitigate compliance risks arising from the business activities. The candidate will also be involving in supporting various Compliance initiatives as assigned by APAC Head of Markets and IBCM Compliance from time to time. Learn more about the career areas and lines of business at wellsfargojobs.com.

Responsibilities
  • Lead the Compliance coverage for APAC Investment Banking and Capital Markets business and provide support to Compliance coverage of APAC Markets business.
  • Develop, maintain, enhance risk management and control framework to ensure all applicable regulatory requirements (including US and EMEA in addition to APAC) are being addressed and is effective in identifying, managing and mitigating compliance risks arising, including resolving issues, strengthening controls, and delivering effective risk control self-assessment on time.
  • Oversee effective Compliance programs for APAC Investment Banking and Capital Markets business in close collaboration with US and EMEA Compliance to ensure proper global alignment, standardization and enhanced usability.
  • Support proactively various Compliance initiatives and projects as assigned by APAC Head of Markets and IBCM Compliance.
  • Partner effectively with Front Line stakeholders to deliver effective Compliance programs and ensure escalation of issue to Compliance senior management in timely manner.
Required Qualifications:
  • 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
  • University degree with minimum 10 years of relevant Compliance working experience (at least 5 years of direct product compliance experience gained in global investment banks).
  • Subject matter expertise in Compliance risk and issues impacting Investment Banking and Capital Markets business as well as Markets FICC business.
  • Excellent understanding of APAC regulatory requirements (especially MAS, SFC and JFSA) applicable to Investment Banking and Capital Markets activities as well as Markets FICC activities. Familiarity with US and UK regulations is desirable and viewed favorably.
  • Strong product knowledge of Investment Banking and Capital Markets and FICC Sales and Trading businesses.
  • Demonstrated track record in delivering desired Compliance outcomes with limited supervision.
  • Highly motivated, self-starter, strong attention to details, team oriented, organized.
  • Excellent written, verbal and analytical skills.
  • Strong communications and interpersonal skills, strong presentation skills with ability to articulate complex problems and solutions through concise and clear messaging.
  • Ability to interact, communicate and influence senior management.
  • Ability to manage various competing priorities within tight timelines.
Posting End Date:
30 Jan 2025
*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.

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