Compliance AVP, Hong Kong

Jefferies

📍 Hong Kong, Hong Kong, Hong Kong 💼 Full time 🕒 Posted July 05, 2026

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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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Job Details

Location Hong Kong, Hong Kong
Job Type Full time
Category Business Operations Specialists
Posted Date July 05, 2026
Application Deadline August 14, 2026