Job Description
Responsibilities:
- Prepare regulatory reporting, e.g. Short Position Reporting, Disclosure of Interest, etc.
- Coordinate regulatory enquiries, reporting, inspection or investigation, e.g. SFC S181, S329, etc.
- Carry out the compliance testing, e.g. monitor stock trading activities ensuring relevant regulatory requirements
- Manage HK regulatory licensing related matters e.g. staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing records
- Coordinate new hire and ongoing trainings and maintain employee Continuous professional training records
- Manage other core compliance functions including new staff dealing account approval; assigning trainings to employees; personal account trading review and etc.
- Prepare regular risk and management information report to senior management
- Assist in coordinating action items in relation to new regulatory initiatives and requirements
- Assist in conducting investigation into any violations of the rules, regulations and firm's policy and procedures
- Assist in special assignment, project coordination and implementation of new policies as assigned
Requirements:
- 6-10 years’ experience in compliance or internal control in the securities industry ideally gained from a major US or European investment bank or comparable experience in consultancy, audit for financial services.
- Good knowledge of financial markets and be ready to learn
- Good analytical and communication skills
- Ability to work in a small team and carry out administrative tasks diligently
- Proficiency in MS Office including PowerPoint and Excel
- Self-motivated and innovative
Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services. With more than 40 offices around the world, we offer insights and expertise to investors, companies, and governments.
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.