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Regulatory Compliance Officer- Associate - Corporate

Posted on Jan 24, 2019 by Jefferies

Jersey City, NJ 07097
7 Jan 2019
Annual Salary
Jefferies, the global investment banking firm focused on serving clients for over 50 years, is a leader in providing insight, expertise and execution to investors, companies and governments. The firm provides a full range of investment banking, sales, trading, research and strategy across the spectrum of equities, fixed income, foreign exchange, futures and commodities, and also select asset and wealth management strategies, in the Americas, Europe and Asia. Jefferies Group LLC is a wholly-owned subsidiary of Jefferies Financial Group, a diversified financial services company.

This hire will be a member of the Firm's Regulatory Compliance group which is responsible for inquiry responses, exam oversight and governance related tasks. The Firm is looking for an excellent communicator, who is energetic and willing to learn and drive change initiatives. Preferred candidates hold a JD and have 3- 5 years of financial services experience, preferably equities/options experience in a compliance/legal role.

Primary Responsibilities:
  • research, analyze and respond to regulatory inquiries - with emphasis on equity inquiries
  • coordinate regulatory exams and delivery of requested items, respond to exam findings
  • assist with tracking and implementation of new/amended regulatory requirements
  • engage in testing of controls/policy adherence
  • assist with oversight, drafting & distribution of policies and procedures
  • assist with existing governance committees
  • participate in or lead ad hoc regulatory projects

Required Background
  • Bachelor's degree
  • 3- 5 years of financial services experience

Desired Experience/Skills
  • JD degree
  • equities/options experience in a compliance/legal role
  • regulatory experience (SEC, FINRA, CBOE, NFA, CFTC, etc.)
  • financial Services licenses or willingness to obtain
  • comprehensive analytical and problem solving skills
  • strong written and verbal communications skills
  • team player - one who is able to prioritize in a fast moving, high pressure, constantly changing environment
  • ability to build, develop and maintain solid working relationships throughout various businesses and corporate departments
  • comfortable with different technology applications and data analysis
  • proficiency in Microsoft Excel, Word and PowerPoint

Regulatory Compliance Officer- Associate - Corporate

Reference: 624118676