Jefferies

1 month ago

Head of Central Compliance, Hong Kong

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

Lead regulatory compliance for Hong Kong, overseeing reporting obligations, regulatory inquiries and investigations, licensing and monitoring frameworks. Drive risk-based surveillance, training, and governance reporting; coordinate with regulators and senior management to implement regulatory changes and strengthen the firm’s compliance program in a lean, high-standards environment.

Location: Hong Kong

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Director level

Key Responsibilities

•Provide strategic oversight and governance of regulatory reporting obligations, including Short Position Reporting and Disclosure of Interests, ensuring full compliance with applicable Hong Kong regulatory requirements.
•Lead the coordination and management of regulatory enquiries, inspections, and investigations (e.g. SFC Sections 181 and 329), acting as the primary point of contact with regulators and ensuring timely, accurate responses.
•Direct and enhance the firm’s compliance monitoring and testing framework, including surveillance of trading activities and implementation of robust control mechanisms to mitigate regulatory risks.
•Oversee all Hong Kong regulatory licensing matters, including staff licensing applications, filings, annual returns, and maintenance of comprehensive licensing records, ensuring adherence to regulatory standards.
•Establish and drive firm-wide compliance training strategy, including onboarding and ongoing Continuous Professional Training (CPT), fostering a strong culture of compliance and accountability.

Key Requirements

•10+ years of relevant experience in compliance, internal controls, or regulatory functions within the securities industry.
•Strong understanding of financial markets, products, and regulatory frameworks, with the ability to interpret evolving regulatory requirements and translate them into practical business solutions.
•Excellent analytical, problem-solving, and communication skills, with the ability to engage effectively with senior stakeholders and regulators.
•Proven ability to operate both strategically and hands-on in a lean team environment, maintaining high standards of accuracy and attention to detail.
•Advanced proficiency in Microsoft Office applications, particularly Excel and PowerPoint, with the ability to prepare high-quality management reports and presentations.

Experience:10+ yearsFinanceRegulatorySecuritiesInvestment banking

Skills:AnalyticalCommunicationLeadershipProblem-solvingRisk management

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

Website LinkedIn

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Jefferies

1 month ago

Head of Central Compliance, Hong Kong

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

Location: Hong Kong

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Director level

Key Responsibilities

•Provide strategic oversight and governance of regulatory reporting obligations, including Short Position Reporting and Disclosure of Interests, ensuring full compliance with applicable Hong Kong regulatory requirements.
•Lead the coordination and management of regulatory enquiries, inspections, and investigations (e.g. SFC Sections 181 and 329), acting as the primary point of contact with regulators and ensuring timely, accurate responses.
•Direct and enhance the firm’s compliance monitoring and testing framework, including surveillance of trading activities and implementation of robust control mechanisms to mitigate regulatory risks.
•Oversee all Hong Kong regulatory licensing matters, including staff licensing applications, filings, annual returns, and maintenance of comprehensive licensing records, ensuring adherence to regulatory standards.
•Establish and drive firm-wide compliance training strategy, including onboarding and ongoing Continuous Professional Training (CPT), fostering a strong culture of compliance and accountability.

Key Requirements

•10+ years of relevant experience in compliance, internal controls, or regulatory functions within the securities industry.
•Strong understanding of financial markets, products, and regulatory frameworks, with the ability to interpret evolving regulatory requirements and translate them into practical business solutions.
•Excellent analytical, problem-solving, and communication skills, with the ability to engage effectively with senior stakeholders and regulators.
•Proven ability to operate both strategically and hands-on in a lean team environment, maintaining high standards of accuracy and attention to detail.
•Advanced proficiency in Microsoft Office applications, particularly Excel and PowerPoint, with the ability to prepare high-quality management reports and presentations.

Experience:10+ yearsFinanceRegulatorySecuritiesInvestment banking

Skills:AnalyticalCommunicationLeadershipProblem-solvingRisk management

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

Website LinkedIn