Compliance Operations Consultant

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo's vision is to satisfy our customers' financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, investments, mortgage, and consumer and commercial finance through 8,050 locations, 13,000 ATMs, the internet (wellsfargo.com), and mobile banking, and has offices in 38 countries and territories to support customers who conduct business in the global economy. With approximately 265,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 26 on Fortune's 2018 rankings of America's largest corporations. News, insights, and perspectives from Wells Fargo are also available at Wells Fargo Stories.

Main function of the job:

Responsible for providing Compliance oversight and coordination for the international marketing and communications review process, international travel application process, complaints and other related Compliance processes.

Responsibilities:

  • Develop and execute an appropriate model for enhanced oversight of the international marketing and communications review process, international travel application process and monitoring, complaints and other related compliance processes
  • Perform initial screening of the marketing/communication materials and international travel requests for completeness and applicability
  • Ensure timely reviews by Compliance team members
  • Develop and report non-compliance to senior management monthly. Such non-compliance shall include late or post international travel request applications, abusive pattern of rush requests by the same team members, etc.
  • Review, advise and recommend/implement improvements on existing operating processes and ensure the APAC region adheres to relevant regulations, policies and procedures
  • Work closely with other members of Compliance team and relevant parties to support international and regional compliance projects
  • Other duties as required within the Compliance team

Market Skills and Certifications
  • Requirements:
  • 5 years of relevant experience preferably in area of compliance or legal in finance industry
  • Strong communication skills in English, both written and verbal
  • Goal oriented, ready to take initiatives, be able to build consensus and be willing to undertake a variety of roles with the Compliance team as required
  • Ability to work independently



Back to top