Business Unit Control, AVP

The Role 

This role is responsible for supporting the design, implementation and monitoring of business and regulatory controls compliance and holistically evolving management of non-financial risk for Asian markets at Jefferies. This position is part of the 1st line of defense and will work alongside Trading/Sales and Corporate Functions.

Responsibilities

Perform the following functions in relation to regulatory compliance:

1.    Controls Design & Execution:

• Own the end-to-end design of reporting, processes and controls related to regulatory compliance and business processes.
• Work and coordinate with stakeholders such as trading/sales, Compliance, Operations and Technology on solutions.
• Execution of detective and preventive controls to monitor business adherence to regulatory requirements or agreed businesses processes.

2.    Implementation and Testing:

• Lead coordination with Corporate Function and other stakeholders on implementation plans to ensure timely execution and adherence to regulatory commitments.
• Perform thematic risk and control reviews and monitor actions or outcomes to ensure effective closure in a timely manner.

3.    Governance and Management Reporting:

• Implement and monitor metrics to ensure ongoing compliance / obligations of implemented controls.
• Support and guide trading/sales supervisors on controls and controls to ensure strong governance.

4.    Policies and Procedures: 

• Own the documentation of regulatory change with appropriate controls.
• Ensure controls and processes are documented with periodic updates.  

Experience & Qualifications: 

• Minimum 6-8 years of experience within an equities compliance, COO, control or business management function.
• Working knowledge Asian equity markets and regulations.
• Prior experience of regulatory change.
• Prior experience of working with stakeholders such as Trading / Sales teams, COO, Operations and Technology.

Attributes

• Ability to problem solve and re-engineer.
• Strong communicator and able to manage a broad set of stakeholders.

Qualifications

• Bachelor’s degree or equivalent

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.