Client Onboarding Compliance Advisor

Jefferies • New York, NY

3d • $105,000 - $120,000

About The Position

This document outlines the job description for a Compliance Officer at Jefferies LLC. The role involves advising on client onboarding, managing client due diligence questionnaires, and conducting cross-border jurisdictional assessments. Candidates must have a bachelor’s degree, a JD, at least five years of relevant experience, and skills in regulatory compliance, communication, and data analytics.
Reporting to: Managing Director in the Compliance Department
Job Description: Serves as compliance advisor on client onboarding issues (client due diligence requests and cross-border analysis).
Qualifications:
Highly motivated, strong attention to detail, team oriented but able to work independently , organized.
Comfortable acting as an agent for positive change with agility and flexibility to take on new challenges.
Ability to develop and manage relationships to implement business change aligned to regulatory expectations and internal risk control framework.
Ability to create management information reporting and data analytics skills
Education/Experience:
Bachelor's degree required; JD required
Minimum 5 years experience
Experience and current knowledge of financial services activities, products and services, including interpretation and application of all related laws, regulations, and directives.
Experience in compliance, legal or other control-related functions in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof.
Superior written communication skills and excellent presentation skills

Requirements

• Bachelor's degree required; JD required
• Minimum 5 years experience
• Experience and current knowledge of financial services activities, products and services, including interpretation and application of all related laws, regulations, and directives.
• Experience in compliance, legal or other control-related functions in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof.
• Superior written communication skills and excellent presentation skills
• Highly motivated, strong attention to detail, team oriented but able to work independently , organized.
• Comfortable acting as an agent for positive change with agility and flexibility to take on new challenges.
• Ability to develop and manage relationships to implement business change aligned to regulatory expectations and internal risk control framework.
• Ability to create management information reporting and data analytics skills

Responsibilities

• Client Due Diligence Questionnaires
• Coordinate internally with relevant stakeholders to respond to client due diligence questionnaires covering various topics including, internal controls/governance, cybersecurity, compliance policies/procedures, business-related information, etc.
• Maintain library of previously completed client due diligence questionnaires, applicable policies and procedures, Jefferies-related documents relevant to client questionnaires, etc.
• Cross-Border Assessments:
• Coordinate between the Firm’s Client On-Boarding Team, Legal, and relevant business line to conduct cross-border jurisdictional analysis to determine Jefferies ability to deal with clients in certain regions where Jefferies is not registered.
• Continuous inventory maintenance and assessments of Firm activities by country
• Analysis of cross border activities by legal entity

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level