Regulatory Control Position Reporting VP. My global banking client is looking for a Regulatory Reporting professional from either Compliance or Regulatory Reporting who has experience in Share Holding, Takeover Rules and Disclosure Obligations.
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.
- Decipher regulatory requirement to compliance IT & work closely to build a new system, rule engine and user interphases.
- Perform necessary UATs and highlight defects if any and ensure all issues are rectified prior implementing the system.
- 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:
- Min of 6 years’ 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.
- An understanding of the financial markets, ideally with equities and derivatives knowledge, trade lifecycle is an advantage.
- Team & performance management with an ability to manage and develop staff.
- Experience with systems build and project management.
- Excellent communication and interpersonal skills with attention to detail.
- A high level of integrity and a disciplined approach to work.