Apac Senior Compliance Specialist

7 days ago

Singapore WELLS FARGO BANK Full time

Executing RCSA review
- Advising on key regulatory risk, concerns, implications, and regulatory requirements with reference to the specific business activities in scope or to the country/ local jurisdictions and expectations from regulators. Business groups include Corporate and Investment Banking, Commercial Banking and Corporate Enterprise Functions
- Based on the business and functional activities, the Risk Assessable Unit, reviewing and providing credible challenge to Front Line assessment on regulatory risk, alignment of major regulatory requirements and associated controls, legal entity specific inherent and residual risk assessment
- Proposing inputs and deliverables to local Compliance teams, coordinating and aggregating APAC Compliance Officers' responses/ inputs and translate into required format and credible challenge template/ source systems
- Reviewing information received from various teams to ensure accuracy and completeness
- Coordinating / facilitating / leading meetings with different stakeholders, including front line teams, and providing support to the APAC Compliance Officers in executing the credible challenge review throughout the RCSA review period
- Reviewing Business Groups and Enterprise Functions' responses to Compliance credible challenge and assessing the resolution
- Identifying control gaps and providing oversight on remediation plan/ action plan
- Assisting in RCSA related remediation work and annual refresh review
- Assisting with the required preparation work to support the quality assurance review

Project management and reporting
- Keeping abreast the development of the RCSA program
- Participating in RCSA Office Hours Calls & other relevant update sessions and circulate key development to the APAC Compliance teams
- Coordinating and supporting the oversight of the RCSA activities performed by APAC Compliance
- Participating in regular working group meetings with other IRM teams and APAC Front Line to provide Compliance update and drive discussion on engagement models
- Overseeing the RCSA requests to APAC Compliance and monitoring the shared mailbox
- Performing data analytics, data validation and reconciliation to support management reporting and trend analysis as directed
- Tracking the completion status of RCSA requests to ensure delivery within the required timeline
- Providing management reporting for local/ regional governance
- Supporting the ongoing maintenance of the RCSA central depository SharePoint to retain a central repository of artifacts and records as directed

Other responsibilities
- Assisting to organize awareness session to the new joiners on the RCSA program
- Undertake and support any other duties and ad hoc tasks as assigned by APAC Compliance management

**Minimum Qualifications**
- Detail oriented, strong interpersonal, communication (written and presentation), time management skills and organizational abilities are essential with an ability to liaise with different levels of employees, including senior management, in a clear manner.
- A self-starter who is proactive with ability to identify key issues, learn new concepts, and obtain appropriate information for further analysis.
- IT literate - including Microsoft Project, Excel, Visio, Word, PowerPoint and other reporting tools but also able to understand use of technology for improving the regulatory control environment.

**We Value Diversity**

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.

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