Operations, Enterprise Operations, Position Regulatory Reporting
Hong Kong, HK
8d ago


Operations is a dynamic, multi-faceted division that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world.

In addition, Operations provides essential risk management and controls to preserve and enhance the firm's assets and its reputation.

For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow.


We’re looking for a professional individual who wants to apply their financial market knowledge and further develop their understanding in the fast-

growing sector of Regulatory Reform. With the continued high rate of change in the Regulatory reporting space, Regulatory Operations professionals have a mandate and platform to significantly impact their environment and the wider business.


Operations is a multi-faceted division that partners with all areas of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world.

Alongside this vital service delivery role, Operations provides essential risk management and control, preserving and enhancing the firm’s assets and its reputation.

The Regulatory Operations Reporting & Monitoring team responsibilities include re-engineering, implementing control / risk management improvements, as well as partnering with the Business, Project Management and IT to ensure that order, trade, transaction and position reporting to various exchanges and industry related self-

regulatory organizations is complete and accurate. This role requires an energetic individual that can liaise with various groups supporting our regional businesses to analyze our regulatory reporting and monitoring control infrastructure and the rules and operational / technical processes strategically.

This is accomplished by working with the various business partners on project and production responsibilities to improve and maintain the quality of the firms regulatory reporting.



  • Interpret and implement new rules and rule changes
  • Validate for accuracy daily, weekly or monthly regulatory reports
  • Timely investigation and resolution of exceptions generated during the reporting process / cycle;
  • Maintain relationships with Regulators, Self-regulated bodies and Vendors
  • Engage in the testing and implementation of rule changes that impact reporting processes;
  • Document functional requirements for technology to describe the required changes to reporting processes as a result of rule changes or other change management initiatives;
  • Recommend infrastructure and reporting improvements;
  • Develop global partnerships across Operations, broader Federation and the business area in order to help implement initiatives;
  • Proactively assist the business, operations, compliance, and IT management in understanding the impact of business initiative;
  • Analyze regulatory inquiries;
  • Manage maintenance of procedures and other documents relating to the team;
  • Maintain a strong focus on streamlining inefficient processes, drive forward solutions to remediate production issues in order to improve control, accuracy and timeliness;
  • Actively participate in industry forums and working groups and partner with Federation group to drive industry discussions
  • Lead regional initiative projects to strategic platforms

  • Experience in project management, risk management, or operations work including regulatory reporting.
  • Experience of process improvements and system upgrades / testing cycles
  • Strong technical skills, along with general understanding of system development
  • Strong analytical and organizational skills
  • Strong interpersonal skills together with the ability to influence others and make decisions
  • Strong ability to partner with managers to understand complex regulatory reporting requirements
  • Preparing scope and user requirements documents
  • Preparing test scripts

  • Exposure in financial products / functions as well as data analysis, information technology, business operating processes, and compliance.
  • Apply
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