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 for its Global Control Group, IB and Research Compliance team in New York. The role involves advising on information barriers, reviewing research publications for compliance, and supporting the conflict clearance process in Investment Banking.

The candidate should have 6+ years in Compliance, including 3+ years in a Control Group, with strong FINRA and research-transaction knowledge, excellent communication, and teamwork skills.

Qualifications

• 6+ years in a Compliance Department, including 3+ years in a Control Group.
• Strong knowledge of FINRA Rule 2241, Rules 138/139 safe harbors, Section 5 risks, and the 2003 Global Research Settlement.
• Excellent written, verbal, and analytical skills.
• Motivated with attention to detail; able to work in a team and organize.

Responsibilities

• Advise on information barriers, wall crossing policies and need-to-know controls.
• Review research reports for issues in publication of Research products.
• Analyze and review potential transactions to support conflict clearance in Investment Banking.
• Advise Research Analysts and Investment Bankers on Compliance related to Research and transactions.
• Chaperone communications between Research Analysts and Investment Bankers.
• Maintain Watch and Restricted List and determine research quiet periods.

Skills

Control Group experience

Investment Banking advisory

Research advisory

Written/verbal communication

Analytical skills

Presentation skills

Interpersonal skills

Team oriented

Attention to detail

Collaboration across regions

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.