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Senior Compliance Specialist

4 weeks ago

Singapore WELLS FARGO BANK, NATIONAL ASSOCIATION Full time
Roles & Responsibilities

About this role:

International Compliance provides independent compliance risk oversight for the lines of business and legal entities operating in the region and works proactively with the lines of business and other Independent Risk Management (IRM) and support functions to design and deliver effective compliance risk management strategies.

The Senior Compliance Specialist will sit within the APAC Country Compliance team under Legal Entity Compliance and play a key role in supporting the APAC Country Compliance Senior Manager and Singapore Branch CCO with local activities and wider Compliance Programme elements, as required. The Senior Compliance Specialist will look to help drive enhancements in existing processes, partnering with necessary Enterprise Compliance, Business and Function leads in the delivery of applicable business as usual and strategic initiatives and/or remediation efforts. Learn more about the career areas and lines of business at wellsfargojobs.com.

(Note: In addition to these functions employees are required to carry out such other duties as may reasonably be required)

In this role, you will:

  • Support the APAC Country Compliance Senior Manager and Singapore Branch CCO with local activities and wider Compliance Programme elements, as required.
  • Help drive enhancements in existing processes, partnering with necessary Enterprise Compliance, Business and Function leads in the delivery of applicable business as usual and strategic initiatives and/or remediation efforts.
  • Seek to drive synergies with counterparts across APAC, and other regions, helping to shape a scalable and sustainable operating model.
  • Support in identifying, assessing, documenting, and monitoring potential compliance risks.
  • Support compliance risk and regulatory expertise for Compliance Programme elements, with active check and challenge of the Front-Line and other relevant stakeholder groups.
  • Monitor compliance with applicable legal requirements, rules, standards and decisions and all internal policies and processes and actively monitor and plan for any changes in same.
  • Help simplify processes leveraging Enterprise and WFIP, with appropriate oversight/intra-group outsourcing arrangements that are proportionate to the size and scale of the business.

Required Qualifications:

  • 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
  • Strong educational background with a university degree
  • Experience in the compliance and regulatory field within financial services and extensive knowledge of Global Markets at a leading global financial services firm(s).
  • Good understanding of the market and regulatory environment in which Wells Fargo operates.
  • Compliance professional with capabilities, including but not limited to: ability to support critical decisions, working collaboratively, enabling high performance, building self-insight and supporting an effective risk and control environment.
  • Good intellectual capability and flexibility, able to consider issues from multiple angles and support debates and discussions with multiple stakeholders.
  • Good sense of judgement and absolute commitment to Wells Fargo transformation journey
  • Ability to forge relationships across multiple functions to enhance the Compliance brand.
  • Ability to deal with change and exhibit a service led mindset to support our stakeholders.
  • Ability to challenge independently and constructively.
  • Communicate effectively and confidently, orally and in writing at all levels of the organization.
  • A team player that actively looks to partner with and support team members with workloads and challenges.
Tell employers what skills you have

regulatory changes
Remediation
Regulatory Compliance
regulatory compliance risk
Risk Management
regulatory guidance
Risk Mgmt
Compliance
compliance policy
Risk and Regulatory
Team Player
Regulatory Requirements
Legal Compliance
Financial Services