1+ months

Markets Compliance Consultant, Asia-Pacific

Hong Kong, Hong Kong Island
  • Job Code
About Wells Fargo: Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $2.0 trillion in assets. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 8,500 locations, 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 42 countries and territories to support customers who conduct business in the global economy. With approximately 273,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 25 on Fortunes 2017 rankings of Americas largest corporations. Wells Fargos vision is to satisfy our customers financial needs and help them succeed financially. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.

We are looking for a high caliber candidate to join the team in the following key position:

Markets Compliance Consultant, Asia-Pacific

We are now looking for an experienced professional to join our Compliance function in Hong Kong and provide broad-ranging Compliance support for our Wholesale Banking markets businesses in Asia (primarily Fixed Income Sales & Trading, FX/Rates, Investment Banking Capital Markets andAsset Management). The successful candidate will be intimately involved in advising the relevant business lines and developing and maintaining an effective control framework and regime designed to identify, manage and mitigate regulatory risks. This position offers the opportunities and challenges presenting themselves when establishing or enhancing a compliance management infrastructure, program and culture to align with the build-out or expansion in Asia-Pacific of successful Wells Fargo businesses during a period of corporate integration and strategic business expansion.

Responsibilities include:
Developing, maintaining and enhancing an effective Compliance and Risk infrastructure in Hong Kong and other Asian jurisdictions (ex-Japan) to accommodate applicable legal and regulatory requirements and Wells Fargo enterprise or line of business policies with a view to identifying, assessing and mitigating compliance and risks
Implementing and administering Compliance and Risk control systems and procedures and monitoring programs for markets businesses; discussing findings or issues and remedial action with business line; undertaking ad hoc issue escalation and periodic reporting to senior management
Providing comprehensive Compliance and Risk advisory support for current and new or modified business initiatives and in any development, integration or rationalization of markets business activities in applicable jurisdictions
Interacting with regulatory authorities with respect to general enquiries, licensing, ongoing conduct and reporting requirements, and new or modified business initiatives; leading the response to Compliance and Risk monitoring and testing initiatives, internal audits and external regulatory exams
Developing and delivering Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements


  • Financial Services
  • Retail / Wholesale

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Markets Compliance Consultant, Asia-Pacific

Wells Fargo
Hong Kong, Hong Kong Island

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Markets Compliance Consultant, Asia-Pacific

Wells Fargo
Hong Kong, Hong Kong Island

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