Compliance Officer, Control Room

Jefferies; New York (NY); On-site; USD 175,000 - 200,000; Full time

Job summary

Jefferies is seeking a Compliance Officer within Global Control Group, IB and Research Compliance to support information barriers, conflict clearance, and regulatory examinations. This role offers broad exposure to Jefferies Investment Banking and Research, with cross-functional interaction across regional and global partners.

The ideal candidate has 6+ years in a Compliance Department (3+ in a Control Group), deep knowledge of FINRA rules, strong communication, and analytical skills to

Qualifications

• 6+ years in a Compliance Department, including 3+ years in a Control Group.
• Experience with Investment Banking advisory and/or Research advisory functions in an international bank.
• Strong knowledge of FINRA Rule 2241, 138/139 safe harbors, Section 5 risks, and the 2003 Global Research Settlement.

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.

Skills

Control Group

Investment Banking

Research Advisory

FINRA Rules

Analytical Skills

Communication Skills

Job description

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.

• 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

Primary Location: New York Full Time Salary Range of $175,000 - $200,000.