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Securities Operations Analyst

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Job ID 45026BR

About Wells Fargo

Wells Fargo & Company (NYSE: WFC) is a leading global financial services company headquartered in San Francisco (United States). Wells Fargo has offices in over 30 countries and territories. Our business outside of the U.S. mostly focuses on providing banking services for large corporate, government and financial institution clients. We have worldwide expertise and services to help our customers improve earnings, manage risk, and develop opportunities in the global marketplace. Our global reach offers many opportunities for you to develop a career with Wells Fargo. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience. We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

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.


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


  • 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 and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law. We comply with all applicable laws in every jurisdiction in which we operate.

Team members 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.
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