Supervisory Analyst – Equities Sales and Trading, Vice President

Jefferies Financial Group • New York, NY

5d

About The Position

Jefferies is seeking an experienced Supervisory Analyst to support the Equities Sales and Trading Division, primarily by reviewing, supervising, and overseeing the distribution of market commentary and other client-facing communications produced by Equity Sales and Trading personnel. The role reviews equity market commentary, industry notes, research recaps, earnings commentary, conference notes, and other sales-generated communications for accuracy, professional presentation, and consistency with applicable regulatory requirements and Firm policies.

The position also supports broader Equity Sales supervisory functions, including developing and administering supervisory controls for client onboarding, sales practices, and global and cross-border client coverage. This includes assessing client connectivity across jurisdictions and Jefferies entities, with consideration of SEC Rule 15a-6 and other applicable cross-border requirements. The role works with business and control partners to maintain effective supervisory procedures, review standards, quality controls, and records.

Requirements

• Bachelor’s degree required.
• 7–10 years of relevant experience in Broker-Dealer supervision, Equity Sales supervision, Compliance, research publishing, client communications, or a related securities-industry function.
• FINRA Series 16 or Series 24 required, or ability to obtain within the established timeframe.
• Strong understanding of regulatory and supervisory requirements applicable to Broker-Dealer communications and institutional Equity Sales activities.
• Experience developing, documenting, or administering supervisory procedures, controls, and review frameworks within a regulated financial-services environment.
• Strong organizational skills and ability to manage multiple reviews, deadlines, and priorities in a time-sensitive Sales and Trading environment.
• Strong written and verbal communication skills, including ability to communicate required changes clearly and effectively to authors, sales personnel, supervisors, and other stakeholders.
• Ability to work collaboratively across Sales, Trading, Compliance, Legal, Operations, Client Onboarding, and Technology.

Nice To Haves

• Demonstrated experience supporting supervisory review of market commentary, research-related content, sales communications, or other client-facing materials within a Broker-Dealer environment.
• Familiarity with client onboarding, sales-practice supervision, and cross-border regulatory requirements, including SEC Rule 15a-6.

Responsibilities

• Serve as a primary supervisory reviewer of equity market commentary and other client-facing content produced by Equity Sales and Trading personnel, including industry notes, research recaps, earnings commentary, conference notes, and market updates.
• Review communications for compliance with applicable FINRA and SEC requirements, Firm policies, supervisory standards, and required disclosures and disclaimers.
• Review market commentary for potential conflicts of interest, inappropriate or misleading statements, disclosure concerns, and reputational risks.
• Work directly with authors to address required changes and ensure commentary is appropriately presented before distribution.
• Maintain and enhance publishing standards, supervisory procedures, quality controls, and recordkeeping requirements.
• Enhance and maintain a supervisory framework governing AI-generated and AI-assisted market commentary.
• Support Equity Sales supervisory activities and assist in developing and maintaining a risk-based supervisory framework for the Sales business.
• Assist in establishing and administering oversight of client account onboarding, including supervisory review of proposed client relationships, sales coverage, products and services, and relevant regulatory considerations.
• Assess global and cross-border client connectivity, including proposed interactions among clients, sales personnel, and Jefferies entities across jurisdictions; coordinate with Compliance, Legal, Client Onboarding, Operations, and business management on applicable requirements.
• Support the supervisory framework relating to SEC Rule 15a-6 and other applicable cross-border requirements.
• Assist in developing controls to identify changes to client coverage, jurisdiction, legal entity, products, services, or sales activity that may require additional supervisory review or escalation.
• Develop and maintain supervisory procedures, review standards, control documentation, exception reporting, and management information relating to market commentary and applicable Equity Sales activities.
• Evaluate the effectiveness of existing supervisory controls and recommend enhancements based on regulatory developments, business changes, identified risks, and supervisory experience.
• Assist with supervisory reviews, Compliance testing, internal audits, regulatory examinations, and other reviews involving Equity Sales activities.
• Support training and guidance for Equity Sales personnel on market commentary, client communications, sales practices, client onboarding, cross-border activities, and related supervisory requirements.
• Assist with process improvements and departmental initiatives to enhance the efficiency, consistency, and effectiveness of the supervisory program.

What This Job Offers

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