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Compliance AVP, Hong Kong

🏢
Jefferies
📍 Hong Kong, Hong Kong
📍
Location Hong Kong
📅
Posted June 21, 2026
🚗
Commute Local Area
🎯
Local Opportunity Near You!

This job is in your area. Enjoy a short commute and work close to home.

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Job Description

Responsibilities:

  • Prepare regulatory reporting, Short Position Reporting, Disclosure of Interest, etc.
  • Coordinate regulatory enquiries, reporting, inspection or investigation, SFC S, S, etc. 
  • Carry out the compliance testing, monitor stock trading activities ensuring relevant regulatory requirements
  • Manage HK regulatory licensing related matters 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 r...

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    📍 Location Details

    🌆
    City
    Hong Kong
    🗺️
    Country
    Hong Kong
    🚗
    Commute
    Local Area

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