Job Description
Jefferies is looking to hire a Compliance Officer into its Global Control Group, IB and Research Compliance team in London. 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:
Ideally applicants should have the following skills and exposure:
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 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.
Jefferies is looking to hire a Compliance Officer into its Global Control Group, IB and Research Compliance team in London. 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:
- Advise on Information Barriers, wall crossing procedures, sensitive information and need to know policies.
- Identify, evaluate, and resolve issues related to the publication of Research product.
- Analyse 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.
- Assist in developing and delivering Compliance training for Research and Investment Banking.
- Maintain the Firm's Watch and Restricted List and determine appropriate levels of restrictions and research quiet periods.
- Additional projects to enhance efficiencies, identify and mitigate Compliance risk, and implement technological solutions.
Ideally applicants should have the following skills and exposure:
- Experience working in a Control Group and Investment Banking advisory and/or Research advisory function in an International Investment Bank.
- Knowledge of FCA Rules relating to Investment Banking and Research, MAR, UK Takeover Code, FINRA Rule 2241, Rules 138 and 139 safe harbours, Section 5 risks, the Global Research Settlement.
- Excellent written, verbal, and analytical skills.
- Must be a self-starter, flexible, innovative, and adaptive.
- 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.
- 3-6+ years' relevant Legal or Compliance experience.
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 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.