Equities Delta 1 Compliance, Vice President

Jefferies
Hong Kong
Workplace: OnsiteFull timeFunction: Executive & General ManagementExperience: 8-12 yearsEducation: bachelorsSkills: ["Analytical","Communication","Stakeholder management","Attention to detail","Team collaboration"]

Senior-level compliance leader overseeing Delta‑1 and equity derivatives in APAC for Jefferies, based in Hong Kong. Advises front‑office trading desks, ensures cross‑border trading rules, foreign investor regimes, and reporting obligations are met, and develops policies for restricted markets in India, Taiwan, Korea, and China. Partners with Operations, Middle Office and global teams to strengthen controls, surveillance, and regulatory alignment.

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Jefferies
Jefferies
7 months ago

Equities Delta 1 Compliance, Vice President

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Last checked: 20 hours agoStatus: Live

Job Summary

Senior-level compliance leader overseeing Delta‑1 and equity derivatives in APAC for Jefferies, based in Hong Kong. Advises front‑office trading desks, ensures cross‑border trading rules, foreign investor regimes, and reporting obligations are met, and develops policies for restricted markets in India, Taiwan, Korea, and China. Partners with Operations, Middle Office and global teams to strengthen controls, surveillance, and regulatory alignment.
Location: Hong Kong
Workplace: Onsite
Employment Type: Full time
Job Function: Executive & General Management

Key Responsibilities

  • •Provide day‑to‑day compliance guidance to Delta‑1 trading desks, including swap trading, hedging activity, equity financing, capital introduction, outsource trading desk, etc.
  • •Advise on regulatory constraints for India, Taiwan, Korea and China, including foreign ownership limits, investor eligibility requirements, beneficial ownership reporting, market‑access restrictions and daily / monthly regulatory reporting.
  • •Support trading strategies involving equity swaps, and cross‑border hedging to ensure they comply with local and extraterritorial rules.
  • •Review and approve trades requiring compliance clearance, including exposures that may trigger foreign investor thresholds or sectoral caps.
  • •Oversee surveillance of Delta‑1 and derivative activities for insider trading, manipulation, improper hedging behaviour, cross‑border information leakage, and restricted‑list breaches

Key Requirements

  • •Bachelors degree required; legal, finance, or risk‑related qualification preferred
  • •8–12 years of compliance, regulatory, or risk experience in investment banking or markets
  • •Strong technical knowledge of Delta‑1 products and Prime businesses, swaps, equity‑linked hedging, capital introduction, Outsource Trading desk
  • •Practical working knowledge of regulatory frameworks in India, Taiwan, Korea, and China (e.g., SEBI/RBI, FSC/TWSE, FSS/KRX, CSRC/SSE/SZSE)
  • •Experience advising trading desks and understanding trading workflows and control environments
Experience:8-12 yearsInvestment bankingComplianceEquitiesDerivativesAPAC
Education:Bachelor's
Skills:AnalyticalCommunicationStakeholder managementAttention to detailTeam collaboration
Languages:English

Company Brief

Jefferies
Global investment banking and capital markets firm providing advisory, underwriting, trading, research, and asset management services to corporations, governments, and institutional investors.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: New York, United States
Founded: 1962
WebsiteLinkedIn