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.

(Note: In addition to these functions, team members may be required to carry out other duties to support the Business/Firm.)

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.

propos de ce poste :

Lquipe International Transaction Operations Quality Assurance supporrte les activits CIB Markets internationales de Wells Fargo en EMEA et APAC. Elle est responsable de la gouvernance, de la supervision, des contrles et de l'assurance qualit des obligations de reporting rglementaire sur transactions.

Le poste requiert la capacit d'valuer l'impact des volutions rglementaires, de remettre en question efficacement les processus existants et de conduire une amlioration continue grce l'automatisation et aux volutions technologiques, y compris l'utilisation de solutions sectorielles et de solutions bases sur l'intelligence artificielle. Une attention particulire est porte l'assurance qualit, l'efficacit des contrles, la rsilience oprationnelle, la gouvernance rglementaire et la mise en uvre de changements durables dans l'environnement du reporting rglementaire.

Le poste exige une expertise approfondie des rgimes de reporting rglementaire, notamment MiFID II, EMIR, SFTR, MAS et HKMA. Le candidat retenu devra tre capable d'interprter, et d'appliquer des textes rglementaires complexes ainsi que les orientations du secteur, en traduisant les exigences rglementaires en processus oprationnels, contrles, cadres de gouvernance et solutions de reporting.

La personne travaillera en troite collaboration avec les quipes Compliance, Juridique, Front Office, Technologie, Reporting Rglementaire BAU, Middle Office, Finance, Risques et Projets afin de garantir que les dclarations rglementaires soient compltes, exactes et conformes aux exigences rglementaires applicables, ainsi que pour s'assurer de la bonne interprtation de ces exigences. Le poste requiert galement une forte orientation vers l'automatisation et l'amlioration de l'efficacit du processus d'assurance qualit, ainsi qu'une bonne connaissance des outils d'automatisation de l'assurance qualit.

La fonction Transaction Operations Quality Assurance constitue une fonction de contrle cl. Tous les membres de l'quipe doivent oprer dans un environnement fortement contrl afin de grer les risques et de respecter les politiques internes et les attentes rglementaires.

Le soutien aux audits, aux revues rglementaires, aux valuations internes ainsi que des rponses prcises aux demandes des rgulateurs constituent galement des composantes essentielles du rle.

La personne retenue collaborera galement avec les quipes globales sur des initiatives stratgiques, des projets d'amlioration des processus, des opportunits d'automatisation et des programmes de changement rglementaire.

(Remarque : en plus des responsabilits dcrites ci-dessous, les membres de l'quipe peuvent tre amens effectuer d'autres tches ncessaires au soutien de l'activit ou de l'entreprise.)

Dans le cadre de ce poste, vous aurez les attributions suivantes :

• Assurer la supervision de l'assurance qualit des obligations de reporting rglementaire en EMEA et APAC.
• Raliser une revue critique et efficace des processus de reporting rglementaire de bout en bout.
• Surveiller les contrles de reporting rglementaire ainsi que les seuils associs.
• Raliser des analyses et valuations d'impact des volutions rglementaires dans les juridictions concernes.
• Examiner la qualit, l'exhaustivit, la ponctualit et l'exactitude des reportings rglementaires.
• Identifier et piloter la remdiation des exceptions de reporting, faiblesses de contrle et lacunes de processus.
• Veiller ce que tous les processus rglementaires, contrles et attestations soient documents et maintenus dans les outils de gouvernance internes.
• Maintenir et amliorer les procdures rglementaires et la documentation des processus.
• Raliser des revues trimestrielles des procdures et des cadres de contrle.
• Collaborer avec les quipes globales afin d'assurer la cohrence et l'alignement des processus, contrles et standards de reporting.
• Agir en tant que point d'escalade pour les problmatiques de reporting rglementaire et les exceptions de contrle.
• Travailler troitement avec les quipes Regulatory Compliance afin d'interprter les nouvelles rglementations et d'valuer leurs impacts oprationnels.
• Apporter une remise en question constructive auprs des parties prenantes concernant les obligations rglementaires, les contrles et les rsultats de reporting.
• Soutenir les audits internes, les inspections rglementaires et les revues de contrle.
• Diriger et participer des projets lis aux volutions rglementaires et aux initiatives mtiers.
• Collaborer avec les quipes technologiques afin d'amliorer les capacits de reporting, les contrles et les outils de surveillance.
• Identifier et mettre en uvre des opportunits d'automatisation, y compris des solutions bases sur l'intelligence artificielle lorsque cela est pertinent.
• Renforcer la rsilience oprationnelle grce des initiatives de formation croise et de partage de connaissances.
• Planifier et coordonner les activits de formation croise afin de garantir une couverture adquate de l'quipe.
• Renforcer les cadres de contrle et amliorer la gouvernance des activits de reporting.
• Raliser des analyses de causes racines pour les incidents de reporting et soutenir les actions correctrices.
• Produire des reportings de management et communiquer les conclusions aux cadres dirigeants et parties prenantes.
• Participer aux montes de version des systmes, aux tests et aux revues de mise en uvre.
• Agir comme partenaire cl des quipes Compliance, Risques, Juridique, Technologie, Middle Office et Front Office.
• Veiller ce que toutes les initiatives et volutions rglementaires soient suivies et menes jusqu' leur complte mise en uvre.
• Faire preuve d'un fort sens des responsabilits, d'engagement et d'une culture d'amlioration continue.

Qualifications requises :

• Exprience approfondie des exigences rglementaires et des rgles de reporting en EMEA et APAC, notamment une solide connaissance des obligations de reporting MiFID II, EMIR, SFTR, MAS et HKMA, avec une exprience couvrant plusieurs rgimes rglementaires.
• Forte capacit interprter, remettre en question et appliquer des textes rglementaires complexes et des orientations sectorielles, en les traduisant en processus oprationnels, contrles, cadres de gouvernance, exigences de donnes et solutions de reporting.
• Forte orientation vers l'innovation et l'amlioration continue, notamment dans l'identification et la mise en uvre d'opportunits d'automatisation via des technologies du march et des solutions bases sur l'intelligence artificielle.
• Exprience dmontre dans l'valuation des impacts des changements rglementaires, l'identification des carts de mise en uvre et la garantie du respect continu des obligations rglementaires.
• Exprience dans un environnement de rglementation, conformit, oprations, contrle ou reporting au sein d'un tablissement financier.
• Solide comprhension du cycle de vie complet des produits et des transactions, en particulier des produits drivs, y compris l'impact des diffrents modles d'activit, vnements du cycle de vie et flux de donnes sur les obligations de reporting rglementaire.
• Excellentes capacits d'analyse, d'investigation et de rsolution de problmes, avec la capacit de raliser des analyses de causes racines et d'valuer l'efficacit des contrles.
• Exprience dans la ralisation de revues d'assurance qualit, d'valuations de contrle et d'activits de supervision du reporting rglementaire.
• Minimum de 10 ans d'exprience dans le reporting rglementaire, les oprations rglementaires, l'assurance qualit ou des fonctions de contrle quivalentes au sein d'un tablissement financier.
• Capacit dmontre remettre en question efficacement les processus de reporting, cadres de contrle et modles oprationnels existants, identifier leurs faiblesses et conduire des amliorations durables.
• Exprience reconnue dans la conduite d'initiatives de changement, de programmes de remdiation et de projets rglementaires stratgiques.
• Connaissance des modles oprationnels de reporting rglementaire, des cycles de reporting, des flux de donnes et des cadres de contrle.
• Excellentes comptences en communication crite et orale, avec la capacit de communiquer efficacement et d'apporter une remise en question crdible auprs du management senior et des parties prenantes.
• Excellentes comptences en gestion des parties prenantes, capacit d'influence et aptitude dvelopper des relations solides avec les quipes Front Office, Compliance, Technologie, Risques et Oprations.
• Fort souci du dtail et solide culture du risque et du contrle.
• Capacit travailler de manire autonome et efficace avec des quipes rparties sur plusieurs rgions et fuseaux horaires.
• Leadership dmontr, sens des responsabilits, engagement et rsilience.
• Excellentes capacits d'organisation et aptitude grer plusieurs priorits dans un environnement rglementaire complexe et volutif.
• Esprit d'quipe, excellentes capacits de collaboration et haut niveau de transparence.
• Diplme universitaire ou troisime cycle en Commerce, conomie, Comptabilit, Statistiques ou discipline quivalente.
• La matrise de l'anglais est indispensable.

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.

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