Job Description

We are looking for an experienced, dynamic compliance professional to lead our Hong Kong Compliance team. The Head of Hong Kong Compliance will be responsible for all compliance matters relating to Jefferies Hong Kong’s Equities, Fixed Income, and Investment Banking businesses. Additionally, the role will have oversight of the central compliance function. The role will report to the Asia Head of Legal & Compliance based in Hong Kong and the Head of EMEA and Asia Compliance based in London.

The successful candidate will have solid Investment Banking/Broker Dealer compliance experience, gained from a major investment bank and a thorough knowledge of the Hong Kong regulatory regime applicable to a licensed corporation conducting Type 1, 4 and 6 regulated activities.

Responsibilities:

Advisory :

• Provide regulatory compliance advice to business and corporate units on an ongoing basis.
• Work as a supporting partner to the business to ensure regulatory and group standards are maintained.
• Support in the development of new products, services and initiatives by providing advice on relevant laws and regulations and developing effective monitoring and controls and reporting processes.
  
  

Policies and procedures :

• Assist management in the development of policies, procedures, and guidelines designed to facilitate compliance with applicable laws and regulations along with a detailed analysis on business impact.
• Update and amend policies and procedures in light of regulatory developments.
  
  

Education/training :

• Conduct training and education programs (including e-learning) to keep employees apprised of policies and procedures and regulatory events.
  
  

Monitoring and surveillance :

• Oversee and manage compliance issues identified through the surveillance function.
  
  

Regulatory Liaison:

• Manage regulatory and exchange communications, including dealing with regulatory/exchange queries, investigation and audits.
• Active engagement and coordination with business lines on regulatory requirements for various/new business initiatives and new product approvals committee.
• Act as regulatory liaison with regulatory agencies and exchanges in Hong Kong. Obtain regulatory updates and act as a coordinator for all regulatory information, consultations and dissemination to the business management
  
  

Skills & Experience:

• Extensive experience within Compliance, with 10+ years in Global Markets Compliance (Equities / Fixed Income).
• Prior compliance leadership / team management experience.
• Demonstrable experience building and maintaining strong relationships with front office, operations etc. as well as global compliance colleagues.
• Demonstrable experience maintaining regulatory and exchange relationships, including dealing with exchange queries, investigations, and audits as well as formal regulatory enquires.
• Conversant with Hong Kong legislations and subsidiary regulations, rules, and requirements, in particular the Securities and Futures Ordinance and the rules and regulations issued by Securities and Futures Commission.
  
  

If you would like to arrange a confidential discussion on the role, please contact [via CTgoodjobs Apply Now]

About Us

Jefferies Financial Group Inc. (‘‘Jefferies,’’ ‘‘we,’’ ‘‘us’’ or ‘‘our’’) is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia.

At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives. We have made a commitment to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients.

Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodations to individuals with disabilities, as required by applicable law.

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.