Job DescriptionEquities Front Office Control & Supervision - AVP/VPRoles & Responsibilities The team provides supervisory control and support to US Equities Management and is the first line of defense to protect against reputational, regulatory, and commercial risks. It's made up of appropriately licensed individuals (Series 7, 63, 57 and 24) that can perform various functions in support of the supervisory procedures and systems including, but not limited to the following:
- Responsible for partnering with Senior Business Managers, Supervisors, Compliance, Legal, Operational Risk, IT Security and Audit functions to develop, implement and maintain the supervisory program and to continue to improve a strong controls framework for the US Equities Business.
- Develop and implement supervisory policy procedures and best practices to ensure compliance. Training on such supervisory procedures and maintenance of the Firm's Supervisory Checklist.
- Perform supervisory reviews and approvals as delegate of Equities Senior Management which includes Sales and Trading Commentary, Market Access Limits, New Clients, Email, Errors, T&E, Employee Personal Trades.
- Supervisory reviews and approvals consist of periodic monitoring of activity that is time sensitive.
- Follow up with Supervisors and if necessary, escalation to Equities Senior Management and Compliance.
- Works with Technology and Compliance to develop and utilize tools and reports necessary for appropriate Supervision.
- Works closely with the Supervisors and Compliance to proactively identify potential compliance and regulatory risks and work to resolve these issues.
- Resolves day to day trading and sales issues and coordinates interaction with Compliance and Legal for the resolution of interpretive or policy questions.
- Coordinate information for regulatory inquires to reasonably ensure it is appropriate and responsive to inquiries.
- Involvement in regulatory and business developments, assisting with ad-hoc projects and initiatives.
Primary Location Full Time Salary Range of $140,000 - $160,000. The salary offered will take into consideration an individual's experience level and qualifications. In addition to salary, Jefferies offers, for eligible employees, an annual discretionary incentive and retention bonus, competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Jefferies also offers paid time off packages that include planned time off (vacation), unplanned time off (sick leave), and paid holidays and paid parental leave.About UsJefferies Financial Group Inc. (''Jefferies,'' ''we,'' ''us'' or ''our'') is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia. At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives. We have made a commitment to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients. Jefferies is committed to creating and sustaining a diverse workforce and encourages applicants from all backgrounds to apply. This includes applicants from historically underrepresented groups, including women, racial and ethnic minorities, members of the LGBTQ+ community, military veterans, and individuals with disabilities or who are neurodiverse. Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodations to individuals with disabilities, as required by applicable law. All employees must follow Jefferies' COVID-19 protocol policy, which is subject to change.