Supervisory Analyst – Equities Sales and Trading, Vice President

Jefferies•New York, NY

1d•$165,000 - $200,000

About The Position

Jefferies is seeking an experienced Supervisory Analyst to support its Equities Sales and Trading Division, primarily by reviewing, supervising, and overseeing distribution of market commentary and other client-facing communications produced by Equity Sales and Trading personnel. The role reviews materials such as equity market commentary, industry notes, research recaps, earnings commentary, conference notes, and market updates to help ensure they are accurate, professionally presented, and consistent with applicable regulatory requirements and Firm policies. The position also supports broader Equity Sales supervisory functions, including developing and administering 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 Compliance, Legal, Client Onboarding, Operations, business management, and other stakeholders to maintain and improve the supervisory program.

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 clearly communicate required changes 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.
Review communications for compliance with applicable FINRA and SEC requirements, Firm policies, supervisory standards, disclosures, and disclaimers.
Review market commentary for potential conflicts of interest, inappropriate or misleading statements, disclosure concerns, and reputational risks.
Work with authors to make 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 broader Equity Sales supervisory activities and help develop and maintain a risk-based supervisory framework for the Sales business.
Help establish and administer oversight of client account onboarding, including review of proposed client relationships, sales coverage, products and services, and regulatory considerations.
Assess global and cross-border client connectivity and coordinate with relevant business and control functions to address regulatory and supervisory requirements.
Support the supervisory framework relating to SEC Rule 15a-6 and other applicable cross-border requirements.
Help develop controls to identify changes in client coverage, jurisdiction, legal entity, products, services, or sales activity that may require additional review or escalation.
Develop and maintain supervisory procedures, review standards, control documentation, exception reporting, and management information for 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 improve the efficiency, consistency, and effectiveness of the supervisory program.