Regulatory Change Management
Found in: Talent HK C2 - 2 weeks ago
AVP/VP – Regulatory Change Management
Experienced, dynamic compliance professional required to join the Jefferies Asia Compliance Team. This is a Hong Kong based role reporting to the Head of Hong Kong Compliance.
The candidate should have solid institutional broker dealer, investment banking experience, ideally gained from a US or European investment bank with direct exposure to electronic trading, including applicable electronic trading regulations. The candidate must be educated to degree level and have a good working knowledge of the Asian financial services regulatory landscape.
Responsibilities:
Provide oversight, understand and manage new regulatory and equity exchange level changes impacting execution across all of APAC. Manage the vendor product, triaging new alerts and communicating with stakeholders on relevance, prioritization, implementation and testing of changes. Create a framework to review key existing market rules (risk based approach) versus current Jefferies implementation (surveillance thresholds, controls populations, session times [incl. expiries, extensions], short sale rules, etc.). Act as secondary challenge to algo dev and e-trading team around governance, controls and testing.Requirements:
Strong familiarity with major exchange rules in Asia Strong ability to interpret market regulations and understand intricacies of market microstructures. Experience conducting regulatory horizon scanning, scoping and impact assessments Able to work closely with e-trading team, dev team, e-risk team and local compliance teams to implement config approval process from new rule changes.-
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