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