Corporate Risk
Corporate Risk provides senior management and the Board with an independent perspective of the level of risk to which the Company is exposed and helps identify areas that may become major strategic or reputation risk for the Company. Corporate Risk's responsibilities include among others, developing, reviewing, and implementing company-wide risk governance documents; reporting on risk appetite and inner and outer boundary metric triggers; and credibly challenging Front Line risk decisions.
Corporate Compliance
Wells Fargo Compliance is the company's compliance Independent Risk Review function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and supports compliance risk management activities across the enterprise.
Enterprise Functions Compliance (EFC) is responsible for overseeing compliance risk management across corporate staff functions, including Enterprise Risk. In addition, the group oversees regulatory requirements aligned to other Risk functions as well as a number of regulations and compliance programs that cross multiple lines of business.
The Role
The EFC Lead Compliance Officer will oversee and execute EFC activities across the APAC region, including management of regulatory changes and oversight of Enterprise Functions regulatory requirements managed by other Risk groups. The role will also support the creation and support of Legal Entity Compliance risk assessments for the APAC region. This role will work across the enterprise, requiring relationships with various key stakeholders including Enterprise Functions Compliance, Finance, Legal, Corporate Risk, Human Resources, and Technology. The role will drive consistent processes for end-to-end assessment and management of specific regulatory compliance risks in the APAC region and across the enterprise enabling Wells Fargo to demonstrate compliance with applicable laws, rules, and regulations .
Responsibilities:
The APAC Region Enterprise Functions Compliance (EFC) Lead Compliance Officer strives to foster an environment that ensures strong communication and cooperation among the three lines of defense and sustains a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance risk exposures across business groups, legal entities, geographies, and jurisdictions.
The APAC Region EFC Lead Compliance Officer will run a small compliance team and is accountable for coordinating with Enterprise Functions and LOB Compliance teams to ensure appropriate compliance coverage and compliance program execution for all enterprise functions, including Enterprise Finance, Technology and Data, Corporate Risk, Human Resources and Stakeholder Relations. This will include, in coordination with compliance officers in EFC and other functions, coverage of:
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