Senior Institutional Investment Operations Specialis- - EMEA Transaction Reporting QA
Wells Fargo
- Location
- Bengaluru South, Karnataka, India
- Job type
- Full-time
Required skills
- Tableau
- capital markets
- compliance
- customer service
- database
- SharePoint
About the role
Wells Fargo
Website:
wellsfargo.com
Job details:
About This Role
Wells Fargo is seeking a Senior Institutional Investment Operations Specialis
In This Role, You Will
- Assist in lifecycle support for institutional trade flow
- Manage client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issues
- Lead or participate in moderately complex initiatives and deliverables
- Contribute to large scale planning related to process, procedures and efficiencies with internal and industry related initiatives
- Identify and recommend opportunities for process improvement and risk control development
- Provide leadership to bring groups together to resolve multi-faceted complex issues
- Serve as a leader on projects along with internal and industry related initiatives
- Review and analyze complex functional and operational tasks that require in-depth evaluation
- Exercise independent judgment and resolution to guide the deliverable
- Resolve moderately complex issues
- Lead team to meet functional area projects, and process deliverables
- Leverage solid understanding of functions, policies, procedures and compliance requirements
- Mentor and assist analysts
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Required Qualifications
- 4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Responsibilities To Include
- Oversight of front-to-back regulatory processes & reporting mechanisms to provide effective challenge and review.
- Monitoring of established regulatory controls and any applicable reporting threshold changes
- Analysis and impact assessment across applicable EMEA regulations to ensure completeness.
- Documentation and capture of all regulatory processes and controls within the internal Regulatory Attestations & Control Tool
- Continuously reviewing the control environment for gaps or issues.
- Quarterly review and preparation of the group’s procedures.
- Collaborating globally to ensure alignment of procedures and processes.
- Point of contact for any escalation,
- Plans the cross trainings to ensure 100 % production as these teams are small and independent in nature,
- Reduces the onshore dependency over the course of time to be self-reliant when needed,
Essential Qualifications
- University degree/Post graduation in Business /Accounts/Economics/Stats.
- Experience of more than 10 years in EMEA/APAC regulatory reporting
- Highly developed analytical and problem-solving skills.
- Strong resilience, with the ability to pursue items or required change.
- Ability to write reports / communicate with senior management and stakeholders.
- Extensive experience with EMEA/APAC regulatory requirements and reporting rules (MiFID II experience essential), with previous experience in a regulatory focused role in a financial services firm.
Desired Qualifications
- A deep understanding of current regulatory environment (EMIR, MIFID, SFTR, MAS, HKMA etc.) and how that impacts the business/operations (cash and derivative products)
- Understanding Capital Markets and the different product taxonomies within the business segments
- Knowing Risk function deliverables like Key Risks & Controls and the testing thereof
- Importance and role of MIS Regulatory Ops System overview Bloomberg Cling UI, CID Database,SharePoint Drives,Exceptor,TriOptima,Calypso,Tableau
Reference Number
R-518270
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