In this role, you will:
- Act as a Compliance Advisor for designated Enterprise Functions across APAC and EMEA, ensuring timely and risk-based support.
- Provide regulatory guidance on APAC-specific regimes primarily concerning Operations and Middle Office activities including, but not limited to, MAS, HKMA, SFC, and ASIC requirements.
- Monitor and interpret regulatory developments for relevant coverage areas internationally and assess their applicability and impact on business activities.
- Support the implementation of global and regional compliance policies and frameworks to ensure consistency and regulatory alignment.
- Review and challenge business practises, controls, and procedures to ensure compliance with applicable laws and regulatory expectations.
- Liase with Legal, Risk, and Operations teams to ensure a coordinated approach to regulatory compliance and issue management.
- Support internal reviews, audits, and regulatory examinations, preparing materials and participating in responses as required.
- Contribute to compliance risk assessments, monitoring activities, thematic reviews, and governance forums.
- Promote a culture of compliance and ethical conduct across the organisation, and mentor junior staff as appropriate.
Required Qualifications:
- 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Substantial experience in compliance or regulatory advisor roles within financial service, preferably with regional APAC coverage.
- Proven experience in the compliance and regulatory field within financial services and extensive working knowledge of Banking Operations activities, specifically technical expertise in Transaction Reporting.
- Strong understanding of applicable regulations and guidance with a focus on transaction reporting issued by MAS, HKMA, and other regional authorities.
- Familiarity with global regulatory frameworks (e.g., MiFID II, EMIR, Dodd-Frank, CASS) and the ability to operate in a cross-jurisdictional environment.
- Proven ability to analyse regulatory requirements and provide practical, solutions-oriented compliance advice.
- Strong interpersonal and communication skills, with the ability to influence stakeholders and build effective relationships.
- Excellent organisational skills and the ability to manage multiple priorities and meet tight deadlines.
- Strong understanding of the market and regulatory environment in which Wells Fargo operates.
- Good sense of judgement and absolute commitment to Wells Fargo transformation journey
- A team player that actively looks to partner with and support team members with workloads and challenges.
Desired Qualifications:
- Strong educational background ideally with a university degree and academic track record.
- Professional qualifications, certificates, and/or registrations relevant to Compliance/financial services.
- Corporate and Investment Banking experience, either in Compliance, Legal, Risk or the Business.
Job Expectations:
- Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Compliance Strategy and Wells Fargo Policies, and Procedures.
- Embed a performance culture aligned to the Wells Fargo Values.
29 Jun 2025
Wells Fargo Recruitment and Hiring Requirements:
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.