Compliance - Position Reporting Group Officer

Level: Assistant Vice President

Client: European Investment Bank

Location: Hong Kong

Details of the Division and Team:

Position Reporting Group (PRG) is responsible for the capture of regulatory and legislative rules governing shareholder monitoring and disclosures to regulators, stock exchanges and issuers globally and management of the daily reporting activities. Disclosure of substantial shareholdings or interests is a regulatory requirement in most jurisdictions where the organisation operates in. In addition, most jurisdictions also have a statutory ownership regime and PRG has responsibility to monitor and ensure compliance that such thresholds are not breached.

What we will offer you:

A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That’s why we are committed to providing an environment with your development and well-being at its center.

You can expect:

• Competitive Salary and non-contributory pension
• 20 days annual leave plus generous number of public holidays
• Life Assurance and Private Healthcare for you and your family
• A range of flexible benefits including retail discounts, gym benefits, well-being incentives
• The opportunity to support a wide ranging CSR program plus take volunteering leave days

Your key responsibilities:

• Responsible, for daily group-wide monitoring and disclosure across jurisdictions in APAC to identify reportable positions in relevant securities against reportable thresholds or regulatory position limits such as short positions, foreign ownership, sensitive sectors and takeovers, etc.

• Undertake Quality assurance checks and take responsibility for all APAC regulatory filings made on behalf of the Bank.

• Proactively review and identify gaps and potential issues, work with internal partners to come up with solutions to ensure robust controls over existing processes.

• Lead or assist the ongoing project work in respect to various regional and global initiatives, e.g. responding to regulatory changes, system enhancements and maintenance, data completeness and or accuracy analysis, etc.

• Work with Business Line Compliance to provide guidance and advice to Business on matters relating to substantial and short position reporting, regulatory limit monitoring, takeover dealings disclosure, trading restriction, trade clearance, etc.
  

Your skills and experience:

• Solid experience in a position reporting function at an investment bank or experience gained in Business Line Compliance (consideration will be given to someone with regulatory reporting experience)

• Knowledge of shareholding and takeover rules and disclosure obligations; understanding of the financial markets, ideally with equities and derivatives knowledge, trade lifecycle is an advantage

• Be able to work effectively with functional leads, adopting a mature and professional attitude, fully embracing the benefits of teamwork particularly in identifying, mitigating, prioritising and addressing risks and issues

• Be proactive and someone who takes initiative to identify and improve knowledge and processes; A high level of integrity and a disciplined approach to work

• Highly motivated with the ability to cope under pressure and adhere to daily deadlines; and be a strong team player able to build effective working relationships with stakeholders.

  How we’ll support you:

  • Flexible working to assist you balance your personal priorities
  • Coaching and support from experts in your team
  • A culture of continuous learning to aid progression
  • A range of flexible benefits that you can tailor to suit your needs
  • Training and development to help you excel in your career