VP Transaction Reporting Quality Assurance Specialist 11 Month Fixed Term Contract

About this role:

The International Transaction Operations Quality Assurance team supports the Wells Fargo International CIB Markets business across EMEA and APAC and is responsible for the governance oversight control and quality assurance of regulatory transaction reporting obligations.

The role demands the ability to assess the impact of regulatory changes provide effective challenge to existing processes and drive continuous improvement through automation and technology enhancements including the use of industry wide and AI-enabled solutions. There is a strong focus on quality assurance control effectiveness operational resilience regulatory governance and the delivery of sustainable change across the reporting landscape.

The role requires extensive knowledge of regulatory reporting regimes including MiFID II EMIR SFTR MAS and HKMA. The successful candidate must be able to interpret challenge and apply complex regulatory texts and industry guidance translating regulatory requirements into operational processes controls governance frameworks and reporting solutions.

The individual will work closely with Compliance Legal Front Office Technology BAU transaction reporting teams Middle Office Finance Risk and Project teams to ensure regulatory reporting submissions are complete accurate and compliant with applicable regulatory requirements and to ensure the interpretation of the regulatory requirements is accurate. The role will require someone who has a strong focus on automation and driving efficiency within the QA process and a good understanding of the QA automation tools available.

The Transaction Operations Quality Assurance function is a key control function and all team members must operate in a highly controlled manner to manage risk and comply with internal policies and

regulatory expectations. Supporting audits regulatory reviews internal assessments and responding accurately to regulatory inquiries are critical aspects of the role.

The successful candidate will also collaborate with global teams on strategic initiatives process improvements automation opportunities and regulatory change programs.

In this role you will:

• Provide Quality Assurance oversight across EMEA and APAC Transaction Reporting obligations.
• Perform effective challenge and review of front-to-back regulatory reporting processes.
• Monitor regulatory reporting controls and related reporting thresholds.
• Conduct analysis and impact assessments of regulatory rule changes across applicable jurisdictions.
• Review reporting quality completeness timeliness and accuracy across regulatory regimes.
• Drive identification and remediation of reporting exceptions control weaknesses and process gaps.
• Ensure all regulatory processes controls and attestations are documented and maintained within internal governance tools.
• Maintain and enhance regulatory procedures and process documentation.
• Perform quarterly reviews of procedures and control frameworks.
• Collaborate globally to ensure consistency and alignment of processes controls and reporting standards.
• Act as escalation point for regulatory reporting issues and control exceptions.
• Work closely with Regulatory Compliance teams to interpret new regulations and assess operational impacts.
• Provide effective challenge to stakeholders regarding regulatory obligations controls and reporting outcomes.
• Support internal audits regulatory examinations and control reviews.
• Lead and participate in projects supporting regulatory change and business initiatives.
• Partner with Technology teams to enhance reporting capabilities controls and monitoring tools.
• Identify and implement automation opportunities including AI-enabled solutions where appropriate.
• Develop and maintain operational resilience through cross-training and knowledge-sharing initiatives.
• Plan and coordinate cross-training activities to maintain sufficient coverage across the team.
• Strengthen control frameworks and enhance governance around reporting activities.
• Perform root cause analysis for reporting issues and support remediation efforts.
• Produce management reporting and communicate findings to senior management and stakeholders.
• Participate in system upgrades testing activities and implementation reviews.
• Act as a key partner to Compliance Risk Legal Technology Middle Office and Front Office teams.
• Ensure all initiatives and regulatory changes are tracked and managed through completion.
• Demonstrate strong ownership accountability and a continuous improvement mindset.

Required Qualifications:

• Experience in Institutional Investment Operations or equivalent demonstrated through one or a combination of the following: work experience training education
• Extensive experience with regulatory requirements and reporting rules across EMEA and APAC including strong knowledge of MiFID II EMIR SFTR MAS and HKMA reporting obligations with experience across multiple reporting regimes.
• Strong ability to interpret challenge and apply complex regulatory texts and industry guidance translating regulatory requirements into operational processes controls governance frameworks data requirements and reporting solutions.
• Strong focus on innovation and continuous improvement including identifying and implementing automation opportunities through industry wide technology and AI-enabled solutions.
• Demonstrated experience assessing the impact of regulatory changes identifying implementation gaps and ensuring ongoing compliance with regulatory obligations.
• Experience working in a regulatory compliance operations controls or reporting environment within a financial institution.
• Strong understanding of end-to-end product and trade lifecycles particularly for derivatives including how different business models lifecycle events and data flows affect the application of transaction reporting requirements
• Strong analytical investigative and problem-solving skills with the ability to perform root cause analysis and assess control effectiveness.
• Experience performing Quality Assurance reviews control assessments and regulatory reporting oversight activities.
• Experience in Regulatory Reporting Regulatory Operations Quality Assurance or related control functions within a financial institution.
• Proven ability to provide effective challenge to existing reporting processes control frameworks and operating models identifying weaknesses and driving sustainable improvements.
• Demonstrated leadership in change initiatives remediation programmes and strategic regulatory projects.
• Knowledge of transaction reporting operating models reporting lifecycles data flows and control frameworks.
• Excellent written and verbal communication skills with the ability to communicate effectively and provide credible challenge to senior management and stakeholders.
• Strong stakeholder management influencing and relationship-building skills across Front Office Compliance Technology Risk and Operations functions.
• Strong attention to detail and a robust risk and control mindset.
• Ability to work independently and effectively across multiple regions and time zones.
• Demonstrated leadership ownership accountability and resilience.
• Strong organizational skills and ability to manage multiple priorities in a dynamic regulatory environment.
• Team player with excellent collaboration skills and a high degree of transparency.
• University degree or postgraduate qualification in Business Economics Accounting Statistics or related discipline.
• Fluent English is mandatory.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin disability status as a protected veteran or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit Market Financial Crimes Operational Regulatory Compliance) which includes effectively following and adhering to applicable Wells Fargo policies and procedures appropriately fulfilling risk and compliance obligations timely and effective escalation and remediation of issues and making sound risk decisions. There is emphasis on proactive monitoring governance risk identification and escalation as well as making sound risk decisions commensurate with the business units risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates including women persons with disabilities aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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