Regulatory Reporting Specialist

About the Position

We’re looking for a responsible Regulatory Reporting Specialist to help ensure our colleagues in Asia are satisfying local, APAC and international laws and regulations. This will involve regulatory reporting, trade surveillance and monitoring tasks to keep things compliant in a time-sensitive environment.

The regulatory landscape of our industry is complex and always evolving. You’ll help us handle periodic reporting tasks, contribute to the design and development of internal surveillance and reporting systems and maintain our compliance policies and procedures. This will require strong people skills and the ability to explain processes clearly to individuals in various departments across the firm. Additional responsibilities of this role will include: 

• Designing, monitoring, reviewing and overseeing the firm’s compliance with various regulatory reporting requirements in APAC markets (e.g., disclosure of interest, short position reports, transaction reports)
• Handling the process of daily calculation and submission of regulatory reports (e.g., HKEx large open position reports, Japan short position reports, OTC derivatives reporting)
• Preparing periodic and ad hoc regulatory reports—including but not limited to the SFC Business & Risk Management Questionnaire and the HKEx Self-Attestation of Compliance—and coordinating with internal and external stakeholders to address any follow-up actions as required
• Monitoring the firm’s trade surveillance and reporting systems, reviewing alerts and liaising with trading desks, operations teams and technology staff accordingly
• Preparing data and compiling information for periodic management information reports and regulatory reporting requirements
• Working with compliance developers to enhance and improve internal trading surveillance and position disclosure processes

This role sits within our Legal and Compliance team, a dedicated group of analysts who share a passion for protecting our colleagues as they focus on their daily work. Our Asia offices have grown substantially over the past few years—you will help us make sure our trading activity and operations continue to grow responsibly with it. 

About You

• Have an undergraduate degree in finance, quantitative finance, risk or related studies
• Have 3+ years of relevant experience in the financial services industry; experience in trade surveillance or regulatory reporting functions is a plus
• Have a deep knowledge and understanding of local APAC regulations for securities dealers operating a global model
• Skilled with Excel and experienced in working with large sets of data; VBA/SQL/Python/Linux skills are a plus
• Reliable, trustworthy and courteous team player with great communication skills
• Careful, thoughtful and organised with exceptional attention to detail; can work proactively to solve problems and prioritise tasks in a fast-paced environment
• Eager to learn; able to grow from mistakes and accept feedback
• Fluency in English required; proficiency in Asian languages (such as Mandarin, Korean or Japanese) is a plus

If you're a recruiting agency and want to partner with us, please reach out to [email protected].