Financial Crimes Compliance Testing

6 days ago

Singapore WELLS FARGO BANK Full time

**Department Overview**

Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards and executing group
- specific testing.

The International Testing & Validation (T&V) function provides regulatory compliance and operational risk oversight through the execution of standardized testing across those disciplines. This newly consolidated function will be designed to provide independent assurance that risk programs and controls are operating effectively across the following key risk types: Financial Crimes, Regulatory Compliance, and Operational Risk.

**About the Role**

Wells Fargo's Enterprise Testing is seeking a highly motivated individual for a Senior Associate position in Financial Crimes Compliance Testing. This role, as part of the Bank's Enterprise Compliance organization, is expected to lead Financial Crimes Testing engagements and support issue validation across all Lines of Business in Asia Pacific where Wells Fargo is active. The position reports into the APAC Financial Crimes Compliance T&V Lead Manager.

**Responsibilities**
- Lead the planning, execution and reporting of the Financial Crimes Compliance Testing engagements across all Line of Business as well as Corporate Functions and validate the Bank's issue remediation in APAC.
- Involve in the annual planning and execution of the Financial Crimes Compliance Testing program in APAC to assess the Bank's control environment.
- Work with other 'Second Line of Defense' functions and business units to help the team in APAC to maintain an up-to-date view on the Bank's risk landscape in the region.
- Provide credible challenge and evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls.

**Requirements**:

- 8+ years of experience in Audit, Compliance, Risk and Testing of financial services industry, of which 3+ years must include direct experience in financial crimes
- University Degree holder
- Demonstrated knowledge of APAC financial services and financial crimes topics such as KYC/customer due diligence, sanctions screening, suspicious activity reporting, and fraud
- Strong written and verbal communications
- Detail and task oriented
- Experience in reviewing work paper and provide supervision to team members on a job basis
- Ability to work in a complex, rapidly changing environment and regulatory pressure
- Demonstrated ability to work independently, self-starter and highly motivated to work in a fast paced and changing environment
- Good interpersonal skills, able to develop strong relationships and experience working in an international organization
- Critical Thinking and Analytical skills
- CPA, CAMS or equivalent certification

**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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