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Urgent! Control Group, IB & Research Compliance, AVP Job Opening In Hong Kong, Hong Kong – Now Hiring Jefferies

Control Group, IB & Research Compliance, AVP



Job description

Jefferies is looking to hire a Compliance Officer into its Global Control Group, IB and Research Compliance team in Hong Kong.

This is an exciting opportunity to join a fast-growing business and work in a dynamic role with broad exposure to Jefferies Investment Banking and Research departments.


Essential Duties & Responsibilities:

  • Advise on Information Barriers, wall crossing procedures, sensitive information and need to know policies.
  • Review research reports to Identify, evaluate, and resolve issues related to the publication of Research product.
  • Analyse and review potential transactions to facilitate Investment Banking conflict clearance process.
  • Advise Research Analysts and Investment Bankers regarding Compliance issues related to Research product and Investment Banking transactions.
  • Chaperone communications between Research Analysts and Investment Bankers.
  • Assist in developing and delivering Compliance training for Research and Investment Banking.
  • Maintain the Firm’s Watch and Restricted List and determine appropriate levels of restrictions and research quiet periods.
  • Stay abreast of relevant changes to rules/regulations and work with relevant departments to implement policies and procedures or other controls necessary.
  • Support regulatory inquiries and/or examinations and provide timely responses to the requests.
  • Participate in additional projects to enhance efficiencies, identify and mitigate Compliance risk, and implement technological solutions.
  • Required Background & Skills:


    Ideally applicants should have the following skills and exposure:

  • Experience working in a Control Group and Investment Banking advisory and/or Research advisory function in an International Investment Bank.
  • Knowledge of the regulatory environment and requirements in APAC, such as listing rules, the Hong Kong/Singapore Takeover Code, etc.
  • Good understanding of FINRA Rule , Rules and safe harbors, Section risks, the Global Research Settlement.
  • Excellent written, verbal, and analytical skills.
  • Must be a self-starter, flexible, innovative, and adaptive.
  • Highly motivated, strong attention to detail, team oriented, organized.
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
  • Excellent interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
  • Ability to work closely with regional and global partners and navigate a complex organization.
  • Qualifications 

  • -+ years’ relevant Legal or Compliance experience

  • Required Skill Profession

    Business Operations Specialists



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