Job DescriptionCompliance Officer - Operations & Regulatory Reporting OversightDescription: The desired candidate has mid to senior level experience providing compliance advisory support for Operations and Regulatory Reporting Groups
- Provide compliance advice, oversight on operational rules and regulations for securities and swaps to Front Office, Middle and Back office. (e.g. T+1, Turnaround Rule, Margin, Settlements, Inter-Company bookings, clearing, corporate actions).
- Coordinate with Markets Advisory Compliance and Markets Surveillance on operational issues that require/involve product subject matter expertise.
- Review/Manage Restricted Stock and Sales off a Registration Statement Program
- Actively monitor regulatory developments and trends, attend industry calls such as SIFMA & FIF and take appropriate action to ensure compliance with new or amended regulations.
- Provide compliance guidance and create oversight program for reg reporting, work with supervision, advisory compliance, front office and IT to bridge gaps or provide expertise
- Ensure all regulatory reporting is considered as part of all NBCs
- Interact with technology support and risk management to ensure operational and reporting practices remain compliant with Firm policies and industry regulation
- Drafting new policies and recommending changes to current written procedures as needed
- Assisting with responses to regulatory inquiries, issue tracking, risk assessments and testing.
Qualifications/Skills Required:
- Minimum 8 -10 years financial operations compliance experience.
- Series 7 & 99 preferred
- Knowledge of broker-dealer regulatory compliance including FINRA, SEC, and Exchange specific requirements
- 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
- Strong written and verbal communications skills
Primary Location Full Time Salary Range of $150,000 - $190,000 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 Us Jefferies 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.