APAC Compliance Learning Consultant

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Wells Fargo Bank
  • 23 May 19

•Support the implementation and maintenance of the regional compliance learning and awareness activities program •Perform training needs analysis for team members within the region by considering relevant business activities, local laws and regulatory requirements, internal policies and procedures, team member skills and knowledge, and other relevant factors

  1. Identify compliance learning needs

    Support the implementation and maintenance of the regional compliance learning and awareness activities program

    Perform training needs analysis for team members within the region by considering relevant business activities, local laws and regulatory requirements, internal policies and procedures, team member skills and knowledge, and other relevant factors 

  2. Organize, develop and deliver compliance learning activities

    Support the delivery of APAC Compliance Orientation to APAC team members and participate in the design of the Orientation course to improve team member engagement and knowledge

    Develop and deliver compliance learning, knowledge sharing and awareness courses to APAC team members based on compliance policy, regulatory and other relevant requirements, and partnering with relevant Compliance team members, ensuring any existing courses are current and up to date

    Liaise with APAC Compliance team members to develop regulatory compliance learning activities, and ensure compliance training needs are covered by the appropriate compliance training activities

    Coordinate with the relevant stakeholders to ensure the successful deployment of compliance learning activities, including ensuring APAC Compliance learning courses are assigned to relevant APAC team members

  3. Increase APAC team member awareness of compliance requirements

    Prepare awareness communications to stakeholders in relation to consultation and publication of APAC Compliance-related policies and procedures, or relevant regulatory awareness materials through various channels, including the regional compliance newsletter

  4. Manage compliance learning reporting needs and queries

    Monitor the compliance learning completion status of team members within the region, and report team members with overdue training to APAC Compliance management

    Produce compliance learning related reports as directed by APAC Compliance and other stakeholders, upon request

    Provide advisory support to APAC Compliance with respect to compliance learning assignment and technical issues with respect to the learning system, seeking support by Enterprise or regional contacts as necessary

    Handle regional compliance learning inquiries from Wells Fargo Audit Services, Enterprise Testing & Validation, and other relevant stakeholders, as necessary

 

Qualifications

A relevant degree, with at least 4 years of experience in relevant areas such as regulatory compliance, financial crimes, or law, gained from top tier bank or major accountancy or law firm (i.e., banking / product knowledge is required).

General knowledge of the APAC regulatory environment and how these requirements apply to a business is preferred.  Some familiarity with U.S. banking, securities and bank holding company laws and regulations is an advantage.

Good project management skills, strong stakeholder management skills and the ability to think strategically, act swiftly and deliver results are essential.  The candidate must have expert analytical skills with experience in collecting, analyzing and synthesizing information on various subjects.

Strong interpersonal, communication (written and presentation) skills and organizational abilities are essential with an ability to liaise professionally and with diplomacy across all levels of staff in a clear manner.

Proven track record of working collaboratively across multiple business lines and with stakeholders and colleagues.

A self-starter who is proactive with the ability to identify key issues, and to obtain appropriate information for further analysis