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Legal and Compliance Analyst - Jefferies Finance

Posted on Jan 24, 2019 by Jefferies

New York, NY 10001
7 Jan 2019
Annual Salary
POSITION: RIA Private Funds Compliance Analyst (New York)

  • Assist in monitoring, testing and managing compliance with the firm's regulatory obligations and compliance policies
  • Monitoring employee training metrics and assist with the development of training content
  • Assist in preparing regulatory filings (including Form ADV, Form PF, and other filings)
  • Assist in preparing for and responding to periodic audits and regulatory exams
  • Key resource with respect to ongoing data analytics and technology project work designed to support and enhance the compliance program
  • Provide support for various ad hoc compliance and regulatory projects
  • Assist with conflicts reviews, and AML and know-your-client requests and procedures
  • Conduct on-going email monitoring for the business unit
Manage information barriers and confidentiality arrangements

  • Jefferies Finance LLC is looking to hire a Compliance Analyst for its New York legal and compliance team.
  • Candidates should have 3-5 years of compliance experience at an investment bank, broker-dealer, investment manager. Ideal candidates will have experience working knowledge of the Investment Advisers Act, the Investment Company Act and other regulations relevant to private funds and investment advisory businesses.
  • Candidates must have a college degree, and be able to adapt to and excel in a fast growing and evolving business. They should be able to work independently, possess strong project management and organizational skills, and superior written and verbal communication skills.

Legal and Compliance Analyst - Jefferies Finance

Reference: 624118660

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