The Role
To lead the design, implementation, testing, and governance of business unit controls across Jefferies’ Asian markets, ensuring full compliance with applicable regulations, mitigating operational and regulatory risks, and enabling business growth through robust governance frameworks.
Responsibilities
Controls Design, Implementation & Testing
- Partner with stakeholders in Trading, Sales, Compliance, Operations, and Technology to design regulatory controls aligned with applicable market standards.
- Oversee the development, testing, and deployment of control enhancements, ensuring delivery in line with regulatory deadlines.
- Identify control gaps and propose process enhancements to strengthen operational resilience.
Governance & Reporting
- Produce and deliver accurate and timely management reports on control effectiveness, breaches, and remediation initiatives.
- Maintain governance frameworks ensuring all stakeholders are informed of regulatory changes and their impacts.
Policies & Procedures
- Draft, maintain, and update policies and procedures to ensure alignment with evolving regulatory requirements in Asian markets.
- Provide guidance and training to teams on control processes and compliance expectations.
Leadership
- Manage, mentor, and develop a team of two other professionals, ensuring continual skills growth and delivery excellence.
- Foster a culture of accountability, collaboration, and proactive risk management within the team.
Experience & Qualifications:
- Bachelor’s degree or equivalent
- Significant experience 8+ years in a control, risk, or compliance role within financial services.
- In-depth knowledge of Asian market regulatory frameworks and applicable rules (e.g., MAS, SFC, SEBI).
- Proven stakeholder management skills and ability to influence senior management.
- Strong analytical, organizational, and communication abilities.
Competencies
- Strategic thinking with a strong regulatory risk awareness
- Excellent problem-solving and critical thinking skills
- Ability to deliver under pressure and manage multiple priorities
- Strong interpersonal skills and cultural awareness
Key Success Measures
- Timely delivery of control enhancements and remediation activities
- Measurable improvement in control effectiveness metrics
- Positive stakeholder feedback on collaboration and communication
- Team engagement and retention
Company
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.