VP, Compliance Officer - Global Control Group (IB & Research)

VP, Compliance Officer - Global Control Group (IB & Research)

Jefferies is looking to hire a Compliance Officer into its Global Control Group, IB and Research Compliance team. This is an exciting opportunity to join a fast-growing business and work in a dynamic role with broad exposure to Jefferies Investment Banking and Research departments.

Responsibilities

Advise on information barriers, wall crossing procedures, sensitive information and need to know policies.

Review research reports to identify, evaluate, and resolve issues related to the publication of Research product.

Analyze and review potential transactions to facilitate Investment Banking conflict clearance process.

Advise Research Analysts and Investment Bankers regarding Compliance issues related to Research product and Investment Banking transactions.

Chaperone communications between Research Analysts and Investment Bankers.

Maintain the Firm’s Watch and Restricted List and determine appropriate levels of restrictions and research quiet periods.

Stay abreast of relevant changes to rules / regulations and work with relevant departments to implement policies and procedures or other controls necessary.

Support regulatory inquiries and / or examinations and provide timely responses to the requests.

Participate in additional projects to enhance efficiencies, identify and mitigate Compliance risk, and implement technological solutions.

Required Background & Skills

Experience working in a Control Group and Investment Banking advisory and / or Research advisory function in an International Investment Bank.

Good understanding of FINRA Rule 2241, Rules 138 and 139 safe harbors, Section 5 risks, the 2003 Global Research Settlement.

Excellent written, verbal, and analytical skills.

Highly motivated, strong attention to detail, team oriented, organized.

Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.

Excellent interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.

Ability to work closely with regional and global partners and navigate a complex organization.

6+ years’ experience working in a Compliance Department, including 3+ years working in a Control Group

Willing to work hybrid in NY or NJ, or remote in CA

Primary Location : Full Time. Salary Range of $160,000 - $180,000.

About Us

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.

Jefferies is committed 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 committed to creating and sustaining a workforce that welcomes individuals from all backgrounds to apply. Our employment decisions are made without regard to race, creed, color, national origin, ancestry, religion, pregnancy, age, medical condition, physical or mental disability, marital status, domestic partner status, sex, sexual orientation, gender, 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.

The salary offered will take into consideration an individual’s experience level and qualifications. In addition to salary, Jefferies Financial Group is proud to offer a comprehensive benefits package to eligible, full-time employees or part-time employees, who are scheduled to work at least 30 hours or more per week, including an annual discretionary incentive and retention bonus, competitive employee benefits, including : medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Jefferies also offers paid time off packages that include planned time off (e.g., vacation), unplanned time off (e.g., sick leave), and paid holidays, and for full time employees, paid parental leave.

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