1+ months

Compliance Consultant

Shanghai, VA 23110
  • Job Code
Responsibilities include:

  • Providing daily guidance and advice, under the direction of Compliance Manager, with respect to applicable US and local laws and regulations as well as internal control principles where appropriate
  • Responsible for the implementation of the AML/ATF Compliance Program, and for development and oversight of policies and procedures, controls and training
  • Reviewing and advising line of businesses on local regulatory requirements
  • Assisting, preparing and/or filing of non-financial regulatory reporting as required
  • Performing regular review/testing to ensure policies/procedures and regulatory requirements are up to date and appropriately executed, as required
  • Developing and delivering Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements
  • Assist Compliance Manager with projects related to new regulatory requirements as they occur
  • Assist Compliance Manager by supporting the preparation of responses to regulatory examination requests
  • Investigation and disposition of alerts generated by AML/CTF monitoring programs and other referrals.
  • Regional and limited travel may be required
  • Other tasks or projects as assigned by Compliance Manager
  • The ideal candidate will have:
  • Relevant university degree and minimum of five years of relevant experience gained in an international financial centre. Legal and regulatory background viewed advantageously
  • Good knowledge in PRC Anti-Money Laundering laws and regulations and other regulatory requirements from CBRC/SAFE/PBOC; some familiarity with banking and bank holding company laws and regulations in US desirable
  • Sound understanding of the operation of international financial markets and the purpose and importance of effective regulatory oversight, risk management and corporate governance
  • Good understanding of full service global financial institutions, knowledge of financial products/services offered by Wells Fargo, including features and life-cycle and a general understanding of how these businesses operate, desirable
  • Ability to identify Compliance and Financial Crimes Risks and advise on, promote, develop and implement suitable controls, policies and procedures to effectively monitor and mitigate that risk
  • Ability to identify and advise management of changes in the regulatory and compliance environment and design and implement appropriate Compliance and Financial Crimes Risk solutions
  • Ability to influence stakeholders outside immediate area of control
  • Excellent oral, presentation and written communication skills; self motivated; confidence to communicate proactively and effectively with peers and senior management; ability to manage to a set of deadlines and deliverables with limited supervision

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Compliance Consultant

Wells Fargo
Shanghai, VA 23110

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Compliance Consultant

Wells Fargo
Shanghai, VA

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