Lead Institutional Investment Operations Specialist

Wells Fargo
London, United Kingdom
22 Jun 2022
22 Jul 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

• Assist with the design and production of robust daily, weekly monthly reporting to ensure compliance with the core regulatory requirements

• Assist with monitoring of established regulatory controls and any applicable reporting threshold changes

• Review, analysis and impact assessment across applicable EMEA regulations to ensure completeness

• Documentation and capture of all regulatory processes and controls within RACT

• Visibility of front-to-back regulatory processes & reporting mechanisms in order to provide effective challenge and review

• Continuously reviewing the control environment for gaps or issues

• Assist with the Quarterly review and preparation of the group's procedures and any related sign off checklists

• Keep up to date with Regulatory developments

• Collaborating globally to ensure alignment of procedures and processes

Skills/Experience Required:

• Experience with EMEA regulatory requirements and reporting rules (MiFID II experience desirable)

• An understanding of the current regulatory environment (EMIR, MIFID, SFTR etc) and how that impacts the business/operations

• Work experience in the financial sector, ideally in a regulatory focused role

• Highly developed analytical skills

• Strong resilience, with the ability to pursue items or required change

• Strong attention to detail and embraces a 'Right First Time' mentality

• Able to communicate in a clear and concise manner and share information/new ideas with other team members
  • Proficient with Microsoft Excel and other Microsoft Office products
We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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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