Senior Business Supervisory Officer

2 months ago

Hong Kong, Central and Western District, Hong Kong SAR China WELLS FARGO BANK Full time
About this Role

We are seeking a highly skilled and experienced Senior Business Supervisory Officer to join our team at Wells Fargo Corporate and Investment Banking (CIB) COO division. As an Executive Director, you will play a critical role in building out the CIB Markets Division Supervision Program, driving the Business as Usual (BAU) model, and providing expertise to key aspects of the Firm's Supervisory Framework in the First Line.

Key Responsibilities
  • Provide trading/compliance expertise together with others, maintaining global transparency and consistency (where appropriate) of roles, processes, and accountabilities, and enhance governance and associated documentation.
  • Work with control partners to identify control gaps, design, implement and track through issue remedial actions to close and continue to improve conduct and culture within the business and wider organization including but not limited to communications surveillance, trade surveillance, conflicts of interest, customer care obligations, unauthorized trading, etc.
  • Provide input into Enterprise and Global Markets policies and procedures.
  • Represent Global Markets at various committees, forums, working groups and meetings as required.
  • Act as an escalation point for any items that require escalation, awareness, or approval.
  • Interface with Regulatory agencies (e.g., OCC, FINRA, SEC, ) as required, representing the bank and to be accountable for ensuring regulatory concerns are appropriately and swiftly addressed.
Requirements
  • 7+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Desired Qualifications
  • 7+ years of industry experience in Controls or Compliance.
  • A BS/BA degree or higher.
  • In-depth knowledge of Supervision, Supervisory programs, role of a supervisor, obligations of a supervisory delegate and risks associated with such.
  • Ability to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging.
  • Understanding of Market Abuse Risks and applicable rules and regulations across specific Sales and Trading business.
  • Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner.
  • Self-starter with ability to multitask, manage competing priorities, and effectively lead in a dynamic environment.
  • Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner.
  • Strong attention to detail and high-quality standard for work.
  • Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed.
  • Inquisitive and proactive mindset with the ability to think creatively to solve problems and anticipate potential questions and issues.
  • Experience handling highly sensitive and confidential information utilizing sound judgement.
Job Expectations
  • Ability to travel up to 10%.

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