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The role will primarily be responsible for the complete, accurate and timely submissions of our regional transaction reporting obligations to the respective competent authorities through performance of completeness and accuracy reconciliations. The role will also include support of change management projects and processes as a result of the ever-changing regulatory landscape, as well as enhancements to internal infrastructure to support current regulatory requirements. This role is appropriate for an experienced regulatory reporting SME.
Job Responsibility:
Performing the daily completeness and accuracy reconciliations process in a timely and accurate manner to meet Wells Fargo’s reporting obligations
Perform investigations on breaks and perform root cause analysis on all exceptions
Maintenance and enhancement of governance documents (eg. Process flows and procedures)
Provide analytical support to regulatory change projects
Co-ordinate testing support to regulatory change projects with local SMEs
Work with Compliance and Legal team partners on rule interpretations for regulatory change
Delivery timely and accurate MI to Operations & Compliance management
Issue Management and write ups
Requirements:
2+ years of Capital Markets industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Knowledge of transaction reporting operations including MAS and HK SFC requirements
Working product knowledge in OTC Derivatives and Fixed Income spaces.