Central Compliance, Vice President

Job Description

The Vice President of Central Compliance is responsible for regulatory reporting obligations for the firm's Hong Kong entity, and primary role oversees Disclosure of Interests, Short Position Reporting, HKEX attestations, SFC Business Risk Management Questionnaire, and drives DOI automation and control-enhancement projects. The VP will also support and oversee a broad range of central compliance activities, ensuring that the firm meets its regulatory obligations, e.g. licensing, CPT, PAD, outside business interest, etc.

It is important to promote strong compliance culture across Corporate Functions through clear communication and ongoing engagement. This high-impact role requires strong technical understanding of Hong Kong regulatory requirements, excellent control discipline, and the ability to collaborate effectively with senior management, Corporate Functions, and global stakeholders.

Key Responsibilities

1. Disclosure of Interests (DOI) - Governance & Reporting

• Lead the firm's DOI program (Part XV, SFO), including monitoring, assessing reporting triggers, and overseeing preparation and submission of DOI filings.
• Advise corporate functions and senior management on DOI rules, aggregation requirements, exemptions, and disclosure obligations.
• Maintain, enhance, and document internal DOI procedures, ensuring compliance readiness for internal audits and SFC/HKEX reviews.

2. Short Position Reporting

• Oversee the firm's weekly short position reporting obligations under Hong Kong law.
• Monitor position thresholds, coordinate data collection with operations and technology teams, and ensure accuracy and timeliness of all submissions.
• Strengthen related control frameworks, exception management, and documentation processes.

3. DOI Automation Project (Technology & Process Enhancement)

• Lead the end-to-end DOI automation initiative, partnering with Technology, Data Management, and Operations.
• Define business requirements, validate system logic, participate in user acceptance testing, and ensure alignment with regulatory interpretations.
• Identify opportunities to streamline manual workflows and improve reporting accuracy and control robustness.

4. General Central Compliance Responsibilities

• Support core central compliance functions including:
  • Regulatory filing coordination
  • Compliance monitoring and review activities
• Support annual compliance trainings, firm-wide certifications, and policy attestations.

Qualifications & Experience

• Bachelor's degree required; legal, accounting, finance, or regulatory qualification preferred.
• 8-12 years of experience in central compliance, regulatory reporting, or corporate governance within investment banking or financial services.
• Strong knowledge of Hong Kong SFO, Part XV DOI rules, short-position reporting requirements, HKEX Listing Rules, and SFC Codes & Guidelines.
• Proven experience managing DOI, short position reporting, HKEX attestations, SFC filings, or regulatory governance processes.
• Experience in compliance technology projects or automation initiatives is a strong advantage.
• Excellent analytical skills, with ability to interpret complex regulatory requirements accurately.
• Strong communication, stakeholder-management, and documentation skills.
• High attention to detail, disciplined execution, and ability to manage multiple deadlines.

Core Competencies

• Strong regulatory and control mindset
• Excellent judgment and risk awareness
• Ability to operationalize complex rules
• Effective stakeholder management and communication
• Strong project management, especially for automation initiatives
• Proactive, independent, and solutions-oriented approach
• High integrity and confidentiality

About Us

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.