Skip To Content

Lead Capital Markets Transaction Reporting Specialist

About this role:

Wells Fargo is seeking a Lead Capital Markets Transaction Reporting Specialist, AVP/VP Level. Learn more about the career areas and lines of business at

In this role, you will:

  • Manage and lead the APAC Transaction Report team
  • Monitoring and when needed perform the daily exceptions management process in a timely and accurate manner to meet Wells Fargo’s reporting obligations.
  • Further enhance the control framework around transaction reporting processes
  • Maintenance and enhancement of governance documents (eg. Process flows and procedures)
  • Provide analytical support to regulatory change projects.
  • Act as the link between business requirements and technology solutions.
  • Co-ordinate testing support to regulatory change projects with local SMEs.
  • Work with Traders and Salespeople to work through potential trade issues and violations.
  • 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.
  • Liaise with senior regional stakeholders through Senior Stakeholder meetings.
  • Present in Senior Stakeholder meetings, Forums or Steer Co’s.

Required Qualifications:

  • 5+ years of Capital Markets industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

  • The successful candidate will be self-motivated and have excellent experience in transaction reporting operations, covering MAS and HKMA, and be able to demonstrate a working knowledge of both the regulations and reporting methodologies.

Job Expectations:

  • Knowledge of transaction reporting operations including MAS and HKMA requirements.
  • Ability to understand and translate regulatory rule changes and map to requirements.
  • Working product knowledge in OTC Derivatives/Fixed Income and Equities spaces.
  • Experience of working with project stakeholders to deliver change. Proven track record of process improvements and project delivery.
  • Solid communication and organisational skills – to work with local and remote Operations, Technology and Compliance stakeholders.
  • Proficient with Microsoft Excel (VBA preferred).

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, age, 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.

Drug and Alcohol Policy


Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Rejoignez notre communauté de talents

Renseignez-vous sur les événements à venir et les possibilités de carrière chez Wells Fargo.

Adhérer maintenant
JK 1212 1236 B 4MP