Associate Vice President, Business Unit Control Greater Hong Kong Area

The Company is seeking an Associate Vice President, Business Unit Control to support the design, implementation, and monitoring of business and regulatory controls across Asian markets. The role will develop and maintain compliance processes and controls, coordinate solutions with business and corporate stakeholders, and execute preventive and detective control monitoring. Responsibilities also include coordinating implementation plans, conducting risk and control reviews, tracking remediation, and supporting governance through metrics and guidance for business supervisors. The successful candidate will document regulatory changes and keep policies, procedures, and control documentation current. Candidates should have 6–8 years of experience in equities compliance, a COO, control, or business management function, along with working knowledge of Asian equity markets and regulations. Prior experience with regulatory change and collaboration across trading, sales, operations, technology, and corporate functions is required. Strong problem-solving, process re-engineering, communication, and stakeholder-management skills are important. A bachelor’s degree or equivalent is required.

Hiring Company

Jefferies