Company Overview
Jefferies is a global investment bank and securities firm that has served companies and their investors for nearly 50 years. Headquartered in New York City, with offices in more than 25 cities worldwide, Jefferies provides clients with capital markets and financial advisory services, institutional brokerage, securities research, and asset management. The firm is a leading provider of trade execution across equities, high yield, convertible, and international securities for institutional investors and high-net-worth individuals.
Team Overview
The role sits within the Hong Kong Corporate Actions / Re-Org / Dividend APAC team, which is responsible for the oversight and processing of APAC mandatory and voluntary corporate actions, as well as dividend events.
The successful candidate will play a senior role within a small APAC team, working closely with the London Corporate Actions team, front office desks, clients, agents, traders, and other internal stakeholders. The role requires strong technical knowledge, leadership capability, sound judgement, and the ability to manage risk in a fast-paced, deadline-driven environment.
Role Overview
This role provides senior-level oversight across a broad range of APAC corporate action and dividend events, including tenders, rights issues, mandatory events, voluntary events, and dividend processing.
The successful candidate will be expected to lead and support end-to-end corporate action event management across APAC markets, ensuring events are processed accurately, efficiently, and within required deadlines. The role will involve managing escalations, reviewing client money and client asset reporting, strengthening controls, supporting team members, and maintaining effective communication with internal and external stakeholders.
This is an excellent opportunity for an experienced corporate actions professional with strong APAC market knowledge to take on a senior role within a global investment bank, with responsibility for operational delivery, risk management, process improvement, and stakeholder engagement.
Key Responsibilities
The key responsibilities of the role include:
- Provide senior oversight of APAC mandatory and voluntary corporate action events, including tenders, rights issues, dividends, and other market events.
- Manage and support the end-to-end lifecycle of corporate action events, from announcement capture through to instruction management, processing, payment, reconciliation, and completion.
- Act as a senior point of escalation for complex APAC corporate action and dividend queries.
- Ensure all events are processed accurately, efficiently, and in line with market deadlines, internal procedures, and regulatory requirements.
- Review client money and client asset reporting, ensuring appropriate controls, reconciliations, and oversight are maintained.
- Liaise confidently with clients, agents, custodians, traders, front office desks, operations teams, and global stakeholders.
- Maintain regular communication with the London Corporate Actions team, including daily interaction, escalation management, and participation in periodic meetings.
- Support, mentor, and guide junior team members, helping to develop technical knowledge and maintain high processing standards.
- Identify, assess, and manage operational risk across the corporate actions and dividend process.
- Ensure effective control frameworks are in place, including maker-checker controls, break resolution, exception management, and audit readiness.
- Monitor market deadlines and event-specific risks, ensuring appropriate prioritisation and timely escalation where required.
- Support process improvement initiatives, automation opportunities, and project work to enhance efficiency, control, and scalability.
- Partner with Technology, Projects, Compliance, Finance, and other Operations teams as required.
- Maintain strong documentation standards, including procedures, control records, escalation logs, and evidence of review.
- Contribute to a culture of ownership, accountability, teamwork, and continuous improvement.
Skills and Experience
The preferred skills and experience include:
- Extensive experience in Corporate Actions, Re-Org, or Dividends, preferably within an investment bank, broker-dealer, custodian, or securities services environment.
- Strong knowledge of APAC corporate action markets, particularly Hong Kong, Japan, Korea, and Taiwan.
- Experience managing mandatory events, voluntary events, tenders, rights issues, dividends, and complex market events.
- Strong understanding of event lifecycle management, market deadlines, elections, entitlements, reconciliations, payments, and client communications.
- Experience with client money and client asset reporting, controls, and related operational requirements.
- Experience using Gloss and/or Broadridge would be a significant advantage.
- Previous experience in a swaps or synthetic equity environment would be helpful.
- Proven ability to manage escalations and resolve complex operational issues.
- Strong risk and control mindset, with experience identifying and mitigating operational risk.
- Excellent communication skills, with the ability to interact confidently with senior stakeholders, clients, agents, traders, desks, and global teams.
- Ability to work effectively under pressure and manage multiple competing deadlines.
- Strong attention to detail and commitment to high standards.
- Experience supporting or leading process improvement, automation, system enhancement, or operational change initiatives.
- Ability to mentor, support, and develop junior team members.
Person Specification
The successful candidate should demonstrate:
- Strong ownership, accountability, and judgement.
- Senior-level understanding of corporate actions risk, controls, and market practice.
- Ability to manage multiple events, deadlines, and stakeholder expectations simultaneously.
- Strong leadership and team-support skills.
- Excellent organisational and prioritisation skills.
- Clear and confident verbal and written communication.
- Ability to work collaboratively within a small local team and across global locations.
- Confidence dealing with internal and external stakeholders, including senior management, front office, clients, agents, and vendors.
- High level of accuracy, attention to detail, and follow-through.
- Proactive approach to issue resolution, escalation, and process improvement.
- Flexible and commercial mindset, with the ability to support business needs while maintaining a strong control environment.
- Ability to operate effectively in a fast-paced, high-volume, deadline-driven environment.