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Assistant Vice President, Compliance Specialist (Monitoring and Disclosures)

Hong Kong, , Hong Kong;

Job Description:

About Bank of America:

Our purpose as a firm is to make financial lives better, through the power of every connection. Across the world, we partner with leading corporate and institutional investors through our offices in more than 35 countries. In the U.S. alone, we serve almost all of the Fortune 500 companies and approximately 67 million consumer and small-business clients. We provide a full suite of financial products and services, from banking and investments to asset and risk management. We cover a broad range of asset classes, making us a global leader in corporate and investment banking, sales and trading.

Connecting Asia Pacific to the World

Our Asia Pacific team is spread across 19 cities in 12 markets. We are focused on connecting Asia to the world and the world to Asia, using our global expertise to ensure success is shared between us, our clients and our communities. Our regional footprint covers 12 currencies, more than a dozen languages and five time zones, placing us firmly among the region’s leading financial services companies.

Position Description

This role is responsible for monitoring Bank of America's positions for the purpose of regulatory shareholder reporting in all Asia Pacific (APAC) jurisdictions, including, but not limited to, Large Shareholder Reporting (LSR), Takeover Panel Reporting (ToP), Short Selling (SS) Reporting in appropriate jurisdictions, and responses to issuer requests where applicable. In addition, the team is responsible for monitoring firm holdings against regulatory hard limits, e.g., in sensitive industries, for each jurisdiction. Failure to properly report or breaches of regulatory limits can lead to regulatory fines, sanctions, and loss of business opportunity. 

Key Responsibilities

  • Perform daily monitoring and disclosure of positions held by the firm
  • Take an active part in the sourcing and validation of data and functionality for the firm's new large shareholder and short selling databases.
  • Work closely with the regional and global Business and Compliance officers on any issues arising from the holding of stock in a timely manner.
  • Prepare LSR, ToP, and SS disclosures as necessary and responses to issuer requests.
  • Liaise with compliance technology group on all matters of system enhancements.
  • Engage in the analysis of new rules and regulations pertaining to the monitoring and reporting of holdings in equity as needed.
  • Perform testing of shareholder reporting processes.

Key Requirements

  • Good knowledge of financial markets, banking industry and products.
  • Previous experience of large shareholder reporting or significant exposure to equities products within a similar environment is preferred.
  • Ability to work under pressure and within tight deadlines to a consistently high level of quality and accuracy.
  • Candidates with experience in finance or audit can also be considered
  • Great business stakeholder management and communication skills.
  • Strong technical skills ( i.e. Excel, MS Access and other similar applications) with experience in analyzing, manipulating and reporting from large sets of structured data (e.g. books and records data)
  • Demonstrate strong verbal and written communication skills

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Full time


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