Wells Fargo Vice President Compliance Investment Banking Capital Markets Lead 

China, Hong Kong, Hong Kong Island 

985934141

Responsibilities

• Lead the Compliance coverage for APAC Investment Banking and Capital Markets business and provide support to Compliance coverage of APAC Markets business.
• Develop, maintain, enhance risk management and control framework to ensure all applicable regulatory requirements (including US and EMEA in addition to APAC) are being addressed and is effective in identifying, managing and mitigating compliance risks arising, including resolving issues, strengthening controls, and delivering effective risk control self-assessment on time.
• Oversee effective Compliance programs for APAC Investment Banking and Capital Markets business in close collaboration with US and EMEA Compliance to ensure proper global alignment, standardization and enhanced usability.
• Support proactively various Compliance initiatives and projects as assigned by APAC Head of Markets and IBCM Compliance.
• Partner effectively with Front Line stakeholders to deliver effective Compliance programs and ensure escalation of issue to Compliance senior management in timely manner.

Required Qualifications:

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

Desired Qualifications:

• University degree with minimum 10 years of relevant Compliance working experience (at least 5 years of direct product compliance experience gained in global investment banks).
• Subject matter expertise in Compliance risk and issues impacting Investment Banking and Capital Markets business as well as Markets FICC business.
• Excellent understanding of APAC regulatory requirements (especially MAS, SFC and JFSA) applicable to Investment Banking and Capital Markets activities as well as Markets FICC activities. Familiarity with US and UK regulations is desirable and viewed favorably.
• Strong product knowledge of Investment Banking and Capital Markets and FICC Sales and Trading businesses.
• Demonstrated track record in delivering desired Compliance outcomes with limited supervision.
• Highly motivated, self-starter, strong attention to details, team oriented, organized.
• Excellent written, verbal and analytical skills.
• Strong communications and interpersonal skills, strong presentation skills with ability to articulate complex problems and solutions through concise and clear messaging.
• Ability to interact, communicate and influence senior management.
• Ability to manage various competing priorities within tight timelines.

16 Mar 2025

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.