Compliance Specialist

Updated: April 23, 2024 03:15 PM GMT

Wells Fargo

Chiyoda City, Tokyo

About this role:

Wells Fargo is seeking a Compliance Specialist in Compliance team. Learn more about the career areas and lines of business at wellsfargojobs.com.

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... More Detail