VP, Compliance Officer - Global Control Group (IB & Research)
About the position 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. Responsibilities • Advise on information barriers, wall crossing procedures, sensitive information and need to know policies. • Review research reports to identify, evaluate, and resolve issues related to the publication of Research product. • Analyze and review potential transactions to facilitate Investment Banking conflict clearance process. • Advise Research Analysts and Investment Bankers regarding Compliance issues related to Research product and Investment Banking transactions. • Chaperone communications between Research Analysts and Investment Bankers. • Maintain the Firm's Watch and Restricted List and determine appropriate levels of restrictions and research quiet periods. • Stay abreast of relevant changes to rules/regulations and work with relevant departments to implement policies and procedures or other controls necessary. • Support regulatory inquiries and/or examinations and provide timely responses to the requests. • Participate in additional projects to enhance efficiencies, identify and mitigate Compliance risk, and implement technological solutions. Requirements • Experience working in a Control Group and Investment Banking advisory and/or Research advisory function in an International Investment Bank. • Good understanding of FINRA Rule 2241, Rules 138 and 139 safe harbors, Section 5 risks, the 2003 Global Research Settlement. • Excellent written, verbal, and analytical skills. • Highly motivated, strong attention to detail, team oriented, organized. • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging. • Excellent interpersonal skills with the ability to work collaboratively and with people at all levels of the organization. • Ability to work closely with regional and global partners and navigate a complex organization. • 6+ years' experience working in a Compliance Department, including 3+ years working in a Control Group • Willing to work hybrid in NY or NJ, or remote in CA Apply tot his job