Regulatory Operations Analyst
Wells Fargo
London, United Kingdom
1d ago

Market Job Description

About the Role

This role supports the Wells Fargo EMEA WFS business, reporting to the Head of EMEA Regulatory Operations. This role’s primary purpose is to support the design and production, as well as ensuring control and ongoing monitoring, of regulatory obligations impacting the WFS business in EMEA.

The Regulatory Operations Team will be responsible for ongoing management of all regulatory obligations, starting with MiFID II, and expanding to other obligations once established (e.g. SFTR, EMIR)

The role also includes working with Front Office, Technology, Middle Offices and Operations Teams globally around any projects and process improvements.

Responsibilities to include :

  • 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 the REGIS tool
  • 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
  • Market Skills and Certifications

    Requirements

  • 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
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