Assistant Vice President, Large Holdings (IB Operations)

  • Attractive packages + Bonus
  • Hong Kong
  • Permanent, Full time
  • Robert Walters Hong Kong
  • 27 Oct 17 2017-10-27

Global Large Shareholding regulations require to monitor and disclose the Firm's aggregate holdings in equity and equity related securities of publicly listed companies to regulators, exchanges and issuers; Market disclosures are preconditions to a liquid and efficient market, lowering the cost of capital and delivering benefits for investors; Global laws are complex and carry significant levels of risk that can lead to market destabilisation. Market failures lead to regulatory censure and reputational damage


  • Groupwide coverage of all monitoring and reporting to regulators, exchanges and listed issuers in the NJA region. This includes coverage for long and short shareholding reporting and regional Takeover Panel regulations.
  • Responsible for driving operational performance, identifying operational and technical efficiencies to ensure that the bank meets its global regulatory obligations. The role holder will work alongside technical counterparts to ensure embedded controls remain resilient during periods of change.
  • To establish, mobilise and deliver key projects to enhance regulatory capability while realising benefits as a result of key deliverables.
  • To provide effective support and guidance to the business on all matters related to the Global Large Holdings policy, Global Standards and the control environment within the NJA region.
  • To provide advice on all Shareholding reporting matters including the effects on structural transactions. The individual will also be a point of contact for trade approvals across the business.

Stakeholder Management and Leadership

  • The role holder will partner with Product Compliance, Control and Infrastructure functions and business teams to promote awareness of global transparency regulation and the implications for the firm. The role holder will develop and maintain key stakeholder relationships including Technology, Legal, Audit and private/public side business teams.
  • Deal with inquiries from regulators, legal and internal/external audit, as deemed necessary. The role holder will be expected to spearhead the harmonisation and synergy between Control Group Functions and continue to implement a robust and cutting edge surveillance program.

Decision-making and Problem Solving

  • The role is responsible for complex queries and issues in all matters relating to long and short holding disclosures and takeover reporting. This includes coaching and advising key business stakeholders on regulatory implications, providing proactive leadership and steer on current regulatory landscape while managing key risks within a controlled environment.

Risk and Control Objective

  • Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies and Policy Standards.


  • Experience working within a top-tier banking institution or equivalent, having a deep understanding of global Large Holdings regulation including a technical understanding of calculation methodologies and the associated regulatory risks.
  • Bachelor degree or equivalent in related discipline.
  • Highly competent in MS applications, particularly Excel, PowerPoint and Word.
  • Be used to working to tight deadlines, be results and performance focused be confident to be able to communicate with purpose and clarity both in written and verbal formats.