NBFI Compliance Analyst
The Department
Global Financial Institutions (GFI) is a division of Wells Fargo's International Group responsible for providing financial services and innovative solutions to U.S. and International financial institutions, multi-laterals, central banks, and sovereign wealth funds. Overseas representative offices for GFI are located in 34 countries, including overseas branches and subsidiaries in Hong Kong, London, Seoul, Shanghai, Singapore, Taipei, Frankfurt, and Tokyo. U.S. customers are covered by relationship managers located in various locations across the country. GFI has a 100-year legacy in international banking, exclusively dedicated to financial institution banking in global markets.
The Role
The GFI Compliance Analyst is a key role within GFI; responsible for ensuring the business is collecting and documenting customer due diligence and enhanced due diligence according to corporate policy and GFI procedure.
The GFI Compliance Analyst is responsible for ensuring the complete, accurate, and timely documentation of customer data within the customer risk management system.
This position must stay attuned to industry and regional trends related to compliance issues, financial crimes, and regulatory actions; and proactively identify risk issues and work with senior relationship and risk managers to develop, document, and implement appropriate action plans. The analyst is responsible for the evaluation and decisioning of customer information, negative news, and complex financial activity. Furthermore, the Compliance Analyst will be responsible for providing detailed risk analysis of the GFI customer base.
This position works closely with relationship managers, risk managers, and customers. The Compliance Analyst may call on financial institution customer with the relationship teams in the region; and ensure appropriate compliance issues are discussed, documented, and managed.
The GFI Compliance Analyst will act as a point of contact for inquiries from Financial Crimes Risk Management and International Compliance; and ensure that all enquiries are responded to appropriately and in a timely manner.
Requirements
• Relevant work experience in financial industry and/or compliance risk management.
• Previous experience in Anti-Money Laundering (AML) with a Non-Bank Financial Institution.
• Experience of working in a compliance team with processes for NBFIs, particularly insurance companies (life and non-life), asset managers and pension funds within Europe, Asia and the USA and the regulatory environment associated with this.
• Good knowledge of the regulatory, legal and operating environment pertaining to international FI banking, including working knowledge of MIFID, FATCA, UCITD, FSMA 2000.
• Strong English communication both written verbal.
• Experienced user of Microsoft Office (specifically Word, Outlook, and Excel) and Web based applications.
• Ability to develop strong relationships and work in a complex and rapidly changing environment.
• Strict attention to detail.
• Ideally a Bachelors degree and compliance certifications.
Please apply via our career site, searching for Req ID 1505BR.
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