Compliance Officer, Control Room VP

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:

• 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