VP, Compliance Officer - Global Control Group (IB & Research)Jefferies • San Francisco, CA, United States
No longer accepting applications
VP, Compliance Officer - Global Control Group (IB & Research)
Jefferies • San Francisco, CA, United States
1 day ago
Job type
- Full-time
Job descriptionExperience 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. 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
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.
Essential Duties & 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 :
Ideally applicants should have the following skills and exposure :
Ability to work closely with regional and global partners and navigate a complex organization.
Primary Location Full Time Salary Range of $160,000 - $180,000.
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Compliance Officer • San Francisco, CA, United States