VP, Compliance Officer - Global Control Group (IB & Research)

Jefferies • San Francisco, CA

82d • Hybrid

About The Position

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.

Requirements

• 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
• Willing to work hybrid in NY or NJ, or remote in CA

Responsibilities

• 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.

Benefits

• medical, dental & vision coverage
• 401(k)
• life, accident, and disability insurance
• wellness programs
• paid time off packages that include planned time off (e.g., vacation), unplanned time off (e.g., sick leave), and paid holidays
• paid parental leave

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees