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🥝 Compliance AVP, Hong Kong
Jefferies | Hong Kong, Hong Kong | Posted June 25, 2026
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...