QA Lead - Trade Transaction Reporting (TTR)

Purpose of Job SMBC operates private and public side banking and capital markets businesses. The firm is undergoing significant business and technical transformation, expanding its products and customer base, with associated technological improvement. In addition, as a firm committed to compliance with all relevant regulations, SMBC use both internal and external trade and transaction reporting monitoring to identify potential issues and there is a dedicated Operations and IT TTR team to manage their resolution. In response to these challenges, and to ensure ongoing capability to drive change, an IT QA Lead TTR role has been created to ensure ongoing fitness for purpose of the private and public side banking and capital markets trade and transaction reporting functions. This role will provide support to Operations on TTR regression testing and ensure the regression pack is up to date. This role will provide ownership of all testing around TTR enhancements and monthly RTB
updates. Post Trade and Transaction Reporting Testing: Lead RTB and where required CTB testing in delivering IT Change into MiFIR/MiFID II, EMIR/EMIR Refit, and SFTR transaction reporting and pre/post trade transparency requirements. Ensure PTTR Product Analysts are optimally engaged for project and BAU delivery requirements. Consult to business, Compliance, and IT (development and QA automation) on all facets of transaction reporting within the Capital Markets and SMBC BI business to ensure optimal delivery of change. Perform detailed data analysis, testing and validation, identifying transaction reporting issues, back reporting datasets, and supporting root-cause analysis. Mentor and train junior QA analysts in transaction reporting requirements, business/product analysis techniques, data analysis techniques, and delivery management Ensure team processes and procedures are adhered to and contributing to continual improvement in team delivery and productivity. Curate,
maintain and ensure ongoing accuracy of Test Scenarios and Regression pack for the PTTR Product stream within XRAY, Jira and Confluence Ensure Agile delivery methodologies are adhered to. Prudential Reporting Testing: Same as above (as detailed in Post Trade and Transaction Reporting Testing section above) Lead RTB and where required CTB testing in delivering IT Change Prudential back reporting requirements. Business analysis: Communicating with stakeholders to understand requirements and understand acceptance criteria. Consulting with BA team, reviewing test requirements and identifying Use-Cases for validation. Assisting with regression test for user acceptance testing (UAT) where applicable. Test Environment and Test Data Management: Identifying and ensuring suitable testing environments are available for test automation. Managing test data for the use of executing the test automation packs Bug Management, Result Tracking and Reporting: Analysing and documenting bug reports
following agreed-upon processes upon discovery of a quality problem. Tracing test cases and results back to specific quality risks. Manage the relationships within the project: Facilitate meetings with the appropriate subject matter experts to obtain specifics on requirements for test automation. Communicating with BA's and SMEs to understand acceptance criteria. Liaise with Operations, Front Office, and staff in other functions to ensure that required project artefacts are collated. Provide management with accurate and precise estimates for assigned task duration, along with confidence levels and foreseeable dependencies. Manages and co-ordinates the appropriate level of day-to-day testing from test facilitation to full test engagement of test activities. Manage expectations of high-level stakeholders, Project Lead, Head of QA, and project team. The QA Lead is a key facilitator within the team, acting as a bridge between the client stakeholder, BA, PM, and the solution
team. This includes: Assist project Lead by providing information and test automation solution options. Take control of all automation frameworks and application of this to project and regression solutions. Participate in change processes to manage changing requirements and scope creep. Be a sounding board for validating automation opportunities and solutions within the project team. Manage and highlight risks if appropriate escalate to PM and Head of QA. Organise and deliver test automation trainings and presentations for project team and other stakeholder where required. Accountabilities & Responsibilities Manage FT, SIT, UAT, monthly release BAU testing and regression in SMBC RTB team to ensure that the trades are reported as per the regulatory requirements. Regulations such as MiFiD, EMIR, SFTR Implement of E&Os (Errors & Omissions) and assisting in providing detailed information, remediation, and preventative assurances working with Ops from a testing
viewpoint. Demonstrating via testing that regulatory rules are understood and followed as they are intended. Demonstrate adaptability around key Firmwide decisions and directives. Own good test governance around TTR and Prudential testing in SMBC Manage RTB test environment requirements Key Tasks & Responsibilities Test Manager for Trade Transaction Reporting such as EMIR, MiFiD, & SFTR for both CML & BI. Facilitating Test calls and coordinating defect resolution with the vendor (S&P, DUCO & DTCC GTR) QA Testing of NRs and ensure remediation and resubmission of transactions within Regulatory deadlines or agreed timeframes. Publish MI for senior stakeholder on a weekly basis across CML & BI Monitor the ongoing regulatory reporting obligations for both CML & BI. Ensure effective delivery of daily, monthly, quarterly and ad-hoc regulatory reporting. Work with Compliance to identify, track, assess and respond appropriately to regulatory reporting developments. Ensure

that business changes are reviewed for impact on regulatory reporting, so that planned changes are implemented safely and effectively. Investigate the potential impact to the transaction reporting process and requirements of new instruments and product offerings. Attend key industry and supplier events to obtain relevant market intelligence for the Firm on both regulatory changes, and possible solutions. Overseeing defect management by logging and tracking issues in Jira Create Regression Test Pack and track the execution using the Jira add-in X-ray. Knowledge, Skills, Experience & Qualifications Excellent Test manager experience Excellent detailed knowledge of MIFID, EMIR Refit, UKMIR and Refit mandatory, CFTC and SFTR experience Experience in all Asset Classes (IR, FX, CR & CO) across a wide range of markets Proven ability to analyse current and future regulatory requirements and translate them into practical implications for SMBC. Experience in using the following
tools and platforms: DTCC; RHUB and Kaizen Experience of operating in an environment with trading platforms such as Murex, Summit, PRISM, FOX, OBS, Markit Wire & Bloomberg Experience of working on regulatory reporting and business-wide projects Established network within the Regulatory Reporting space. Proven "hands on" experience with Test regulatory reporting covering PTTR & prudential requirements. Experience and understanding of a Derivatives and Securities trading, operational and regulatory environment. Excellent analytical, strategic thinking and problem-solving skills, including a thorough understanding of how to interpret business needs and translate them into application and operational requirements. Strong self-starter with excellent verbal and written communications skills Demonstrated experience of creating technical requirements/specification documentation Strong work ethic with focus on meeting deadlines and objectives Experience of front to back-office
trading and associated systems Experience with Vendor Management preferred. Demonstrated understanding and delivery, including migration, Transaction Reporting projects or remediation relating to Financial Services Understanding of Regulatory processes and BAU expectations Strong verbal and written communication skills. Ability to communicate effectively and confidently with users, team members and management. Demonstrated experience dealing with high level stakeholders in a financial environment. Key Skills & Qualifications A science/computer science/engineering/mathematics degree. Qualification in Finance or Regulatory discipline preferred. ISTQB foundation certification (minimum) Good Excel based spreadsheet, quantitative and data management skills. Experience in both waterfall and agile delivery preferred. Knowledge of software for use in project life cycles, e.g., JIRA, Confluence, MS Office Suite. Strong skills working with MS Excel, MS Project, MS Word, MS Power
Point, and SQL. Familiarity with VBA preferred. Experience using XRAY test management tool. Desirable Knowledge, Skills & Experience Financial markets experience Experience of Vendor system Gloss, settlement, and cash flow systems. Experience of end point testing with S&P, DTCC Ideally familiar with XRAY test management tool Personal attributes Good interpersonal and team-working skills and robust and organized approach to work. Passionate about their work and results orientated. Able to navigate technical complexity with solution driven mindset. Good problem analysis and solving skills. Keen interest to build a career in software testing and quality assurance.