Compliance Officer, Control Room

Job Description

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.

Essential Duties & Responsibilities:

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• Advise on information barriers, wall crossing procedures, sensitive information and need to know policies.
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• Review research reports to identify, evaluate, and resolve issues related to the publication of Research product.
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• Analyze and review potential transactions to facilitate Investment Banking conflict clearance process.
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• Advise Research Analysts and Investment Bankers regarding Compliance issues related to Research product and Investment Banking transactions.
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• Chaperone communications between Research Analysts and Investment Bankers.
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• Maintain the Firm’s Watch and Restricted List and determine appropriate levels of restrictions and research quiet periods.
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• Stay abreast of relevant changes to rules/regulations and work with relevant departments to implement policies and procedures or other controls necessary.
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• Support regulatory inquiries and/or examinations and provide timely responses to the requests.
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• Participate in additional projects to enhance efficiencies, identify and mitigate Compliance risk, and implement technological solutions.
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Required Background & Skills:

Ideally applicants should have the following skills and exposure:

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• Experience working in a Control Group and Investment Banking advisory and/or Research advisory function in an International Investment Bank.
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• Good understanding of FINRA Rule 2241, Rules 138 and 139 safe harbors, Section 5 risks, the 2003 Global Research Settlement.
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• Excellent written, verbal, and analytical skills.
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• Highly motivated, strong attention to detail, team oriented, organized.
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• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
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• Excellent interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
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• Ability to work closely with regional and global partners and navigate a complex organization.
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• 6+ years’ experience working in a Compliance Department, including 3+ years working in a Control Group
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Primary Location: New York Full Time Salary Range of $175,000 - $200,000.