Regulatory Reporting and Surveillance, AVP

An exceptional opportunity has arisen for an experienced professional to join a leading global financial institution as a Regulatory Reporting and Surveillance Officer in Hong Kong.

What you'll do:

As an Assistant Vice President Regulatory Reporting and Surveillance Officer based in Hong Kong, you will play an integral part in safeguarding the organisation’s reputation through meticulous oversight of transaction and position reporting under multiple APAC jurisdictions. Your day-to-day responsibilities will involve collaborating with cross-functional teams to enhance control frameworks, implementing innovative solutions that reduce operational risk, and ensuring all regulatory obligations are met with precision. You will be instrumental in driving process improvements by leveraging automation tools while maintaining open communication channels with stakeholders at every level. Your ability to interpret complex regulations, prepare detailed reports for central banks or regulators, and provide insightful updates to senior management will be crucial to your success. By fostering strong interdepartmental connections and proactively addressing potential deficiencies in current practices, you will help set new benchmarks for excellence in regulatory compliance.

• Act as a subject matter expert on regulatory reporting requirements across APAC regions, including trade repositories, SEBI, QFII, and short position reporting for both Equities and Fixed Income products.
• Enhance existing control measures to streamline processes and improve efficiency and accuracy in regulatory reporting operations.
• Collaborate closely with IT and Operations teams globally to refine the control framework and architecture supporting APAC regulatory reporting initiatives.
• Contribute strategic insights into the design of production controls and participate in the journey towards automation and artificial intelligence integration within regulatory reporting.
• Establish robust procedures to minimise operational risk associated with regulatory reporting activities while ensuring full compliance with evolving requirements.
• Maintain strong relationships with stakeholders across departments to ensure seamless front-to-back data flow processes are well understood for accurate regulatory purposes.
• Prepare data sets for specific surveys requested by central banks or regulators, ensuring precision and timeliness in all submissions.
• Assist in compiling regular updates for management, Compliance, and Front Office regarding the status of ongoing regulatory projects and initiatives.
• Define test cases, validate user testing outcomes, and coordinate with IT on new releases related to upcoming regulatory changes or projects.
• Liaise with various internal teams to drive continuous improvement of existing reporting standards by reviewing business flows and identifying areas for enhancement.

What you bring:

To excel as an Assistant Vice President Regulatory Reporting and Surveillance Officer, you will bring a wealth of experience navigating complex APAC regulatory environments within financial services. Your proven track record includes not only technical expertise but also the interpersonal skills necessary for effective stakeholder collaboration. You possess advanced analytical abilities supported by hands-on familiarity with automation tools that drive efficiency gains. Your approach is grounded in empathy—valuing input from colleagues at all levels—and you demonstrate unwavering dependability when it comes to meeting deadlines or responding to urgent requests from regulators. A keen eye for detail combined with a passion for continuous learning ensures you remain at the forefront of industry developments. Your commitment extends beyond technical competence; you actively contribute ideas that foster collective success while nurturing an inclusive atmosphere where everyone feels empowered.

• Demonstrated experience managing regulatory reporting processes for APAC jurisdictions, including engagement with strategic projects focused on automation and process improvement.
• Proven ability to interpret rules from diverse regulators such as HKMA, MAS, ASIC, SEBI, and translate them into effective daily practices within banking operations.
• Extensive background working alongside IT teams to develop or enhance control frameworks supporting large-scale regulatory initiatives.
• Exceptional communication skills enabling you to build rapport with stakeholders involved in all aspects of regulatory reporting.
• Comprehensive understanding of Fixed Income products as well as over-the-counter trade reporting requirements relevant to regional regulations.
• Familiarity with front-to-back work flows and product event management processes is considered advantageous for this role.
• Advanced proficiency using data management tools such as Alteryx or Python; strong Excel skills, including automation or script writing (e.g., VBA), are highly valued.
• A deep sense of compliance awareness coupled with rigorous attention to detail ensures accuracy across all deliverable.
• Willingness to share ideas openly within the team environment to promote process efficiency while upholding best practices.