Wells Fargo is seeking a Compliance Specialist in Compliance team. Learn more about the career areas and lines of business at
In this role, you will:
- Develop, maintain and enhance an effective Compliance and Risk infrastructure for Wells Fargo's broker-dealer and bank branch in Japan to accommodate applicable, modified or new legal and regulatory requirements and Wells Fargo enterprise or line of business policies with a view to identifying, assessing and mitigating compliance and risks.
- Implement and administer Compliance and Risk control systems and procedures and monitoring programs for markets and investment banking businesses including the maintenance and management of legal entity and individual licensing and registration obligations; discussing findings or issues and remedial action with business line; undertake ad hoc issue escalation and periodic reporting to senior management.
- Provide comprehensive Compliance and Risk advisory support in any development, integration or rationalization of regulatory inventory, new markets and investment banking business activities, inherent risk assessments and control framework in Japan and other applicable jurisdictions.
- Interact with regulatory authorities with respect to general enquiries, licensing, ongoing conduct and reporting requirements, and new or modified business initiatives; lead the response to Compliance and Risk monitoring and testing initiatives, internal audits and external regulatory exams.
- Develop and delivering Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements.
- 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Relevant university degree and minimum of five (5) years of relevant experience gained in an international financial centre. Legal or regulatory background viewed advantageously.
- Good knowledge of securities and/or derivative laws and regulations in Japan. Some familiarity with equivalent securities laws and regulations in other Asian jurisdictions, and U.S. securities and bank holding company laws and regulations desirable.
- Good understanding of the general operation of international financial markets and the conduct of business on a cross-border basis.
- Good understanding of the purpose and importance of effective regulatory oversight, risk management and corporate governance.
- Good understanding of full service global financial institution, including bank and securities operations, and knowledge of financial products/services offered by Wells Fargo, desirable.
- Ability to identify Compliance and risks and advise on, promote, develop and implement suitable controls, policies and procedures to effectively monitor and mitigate those risks.
- Ability to identify and advise business line management of changes in the regulatory and compliance environment and design and implement appropriate Compliance and Risk solutions.
- Ability to influence stakeholders outside of immediate span 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.
- Qualification of Internal Administrator (Naibu Kanri Sekininsha) of Japan Securities Dealers Association is necessary, Qualification of Chief of Money Lending Operations (Kashikin Gyomu Toriatsukai Shunin) under Money Lending Business Act is preferable.
28 Jul 2024
*Job posting may come down early due to volume of applicants.
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
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