Wells Fargo Job - 30864367 | CareerArc
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Company: Wells Fargo
Location: Hong Kong Island, Hong Kong
Career Level: Associate
Industries: Banking, Insurance, Financial Services


About Wells Fargo

Wells Fargo & Company (NYSE: WFC) is a leading global financial services company with $2.0 trillion in assets and offices in over 37 countries. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides asset management, capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the global economy. At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We also value the viewpoints of our team members and encourage them to be their best. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience. We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Learn more at our International Careers website.

Market Job Description

The APAC Compliance Risk and Program Consultant supports the APAC Regulatory Compliance Risk Officer and APAC Compliance Program Manager with maintaining the major requirements (MR) and their associated risk rating & controls covered by APAC Compliance in the Wells Fargo internal system of records (‘SHRP') and implementation of the Compliance Program in APAC respectively.


  1. System administration / SHRP Data Quality
  • Provide all SHRP related system support to APAC team members upon request
  • Assist in any projects relating to the data quality in SHRP.

  1. Risk identification
  • Assist with the maintenance of regulatory sources, requirements and associated controls applicable to APAC RAUs within SHRP.

  1. Risk assessment
  • Provide support to regulatory source owners and other team members to create and, or, edit MRs, as well as business specific controls in SHRP.
  • Follow up with team members in APAC to ensure completion of evaluation of MRs within the prescribed time frame.

  1. Risk reporting
  • Assist with the preparation and communication of reporting with respect to the management of MRs and associated controls.
  • Assist in coordinating and obtaining feedback required by Wells Fargo Compliance and other stakeholders.

  1. APAC Compliance Program
  • Assist APAC Compliance Program Manager to implement the Compliance Program in APAC.
  • Assist in documentation on gap analysis and program effectiveness assessment and maintain central depository on artifacts.
  • Work closely with stakeholders to obtain periodic updates on the program implementation status and corrective actions completion progress.
  • Assist in the business process management initiatives.

  1. APAC Regulatory Compliance projects and ad hoc tasks
  • Participate in the regulatory compliance risk related projects under the supervision and guidance from the APAC Regulatory Compliance Risk Officer and APAC Compliance management.
  • Undertake and support any other duties and ad hoc tasks as assigned by the APAC Regulatory Compliance Risk Officer, APAC Compliance Program Manager and APAC Compliance management.

Market Skills and Certifications

Minimum Qualifications
The ideal candidate will have:

  • Educated to relevant degree level, ideally with 5+ years of experience in relevant areas such as regulatory compliance, audit or regulatory consulting gained from top tier wholesale bank or major consultancy firm (i.e., banking / product knowledge is required).
  • General knowledge of APAC regulatory environment and how these requirements apply to a business is preferred. Some familiarity with U.S. banking, securities and bank holding company laws and regulations is an advantage.
  • The candidate must have project and stakeholder management skills, as well as analytical skills with experience in collecting, analyzing and synthesizing information on various subjects.
  • Detail orienteered, strong interpersonal, communication (written and presentation), time management skills and organizational abilities are essential with an ability to liaise with different levels of staff in a clear manner.
  • A self-starter who is proactive with ability to identify key issues, learn new concept, and obtain appropriate information for further analysis.
  • IT literate - including Microsoft Project, Excel, Access, Word, PowerPoint and other reporting tools but also able to understand use of technology for improving the regulatory control environment.

We Value Diversity

At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law. We comply with all applicable laws in every jurisdiction in which we operate.

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