Compliance Associate

About this role:

Wells Fargo is seeking a Compliance Specialist for APAC Control Room, the position will be a key role to cover daily activities of Control Room, support the follow the sun model of Global Compliance Control Group and working as partnership with business and other compliance/control functions for risk management and mitigation. Learn more about the career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Handle the day to day control room activities and support the follow the sun coverage model;
• Maintain the Bank's Watch List and Restricted List and liaise with the front line to obtain the deal updates;
• Review and facilitating the barrier crossing requests;
• Carry out review and investigation of potential violations of Control Room and personal investment related policies and procedures and work closely with Trade Surveillance for escalated cases;
• Manage the violation process including issuance of violation notice, escalation and maintain records on the violation for APAC Control Room;
• Support the development, rollout and administration of Control Room and personal account of related policies and procedures;
• Support the design and involve in the implementation, coordination, delivery and ongoing support for the APAC Control Room training;
• Provide supporting on MI and its reporting by preparing and maintaining control room activities related MI on regular and ad hoc basis, conducting review and analysis on the MI if requested by senior management or relevant parties.
• Provide support and work closely with other compliance teams and relevant functions on regulatory, internal audit, testing and validation engagement.
• Provide coverage on certain personal investment work in APAC including review and pre-clearance of personal trade request, advise and guide employees relating to the compliance with requirements on personal investment under the relevant policies and procedures; and
• Involve in global projects and system enhancement and provide support on other ad hoc tasks assigned by the line manager.

Required Qualifications:

• 6+ months of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience (preferably banks, financial services or regulators), training and education

Job Expectations:

• Strong interpersonal, communication (written and presentation) skills and organizational abilities are essential with an ability to liaise professionally and with diplomacy across all levels of staff in a clear manner.
• Strong technology skills.
• Strong project management skills, including ability to administer complex projects from inception to implementation.
• Ability to quickly learn business processes, including 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, proven experience working with senior bank management and/or regulators is helpful.
• Strong organizational and time management skills, with the ability to manage multiple responsibilities and tasks simultaneously.
• Proficiency in MS Office and MS Outlook.

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, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.