Client Onboarding Compliance Advisor

Jefferies Financial Group • New York, NY

2d • $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.

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

What This Job Offers

• Job Type: Full-time