Jefferies, the global investment banking firm, has served companies and investors for 50 years. Headquartered in New York, with offices in over 30 cities around the world, the firm provides clients with capital markets and financial advisory services, institutional brokerage and securities research, as well as wealth and asset management. The firm provides research and execution services in equity, fixed income, foreign exchange, futures and commodities markets, and a full range of investment banking services including underwriting, mergers and acquisitions, restructuring and recapitalization, and other advisory services, with all businesses now operating across the Americas, Europe and Asia. Jefferies is a wholly-owned subsidiary of Leucadia National Corporation (NYSE: LUK), a diversified holding company.
Essential Duties & Responsibilities:
This is a senior role in the Control Group for the Americas, which includes Investment Banking and Research Compliance.
-Meet independently with, and advise, Firm employees and management
-Take on a leadership and training role for junior staff
-As senior member, advise and counsel Global Control Group and Global Compliance colleagues, including training and consulting on US securities laws and regulations regarding e.g., IPOs, Research, Trading restrictions
-Assisting and advising on investment banking (M&A and capital markets) transactions, including providing guidance to Investment Banking and Capital Markets team
-Maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
-Advisor to business groups as well as other Legal and Compliance colleagues on issues regarding Information Barriers, wall crossing procedures, sensitive information and need to know policies
-Chaperoning communications between investment banking and equity research personnel
-Review of pending research reports and proposed initiations and changes to identify potential legal or regulatory conflicts
-Providing advice to the Equity and High Yield Research Department on research regulations (e.g. FINRA Rules and Bond Market Association standards) and management of conflicts of interest in connection with investment research
-Assisting in conflicts management: conducting checks on proposed
relationships and transactions to identify potential conflicts of interest;
analyzing any conflicts identified with the relevant business units to
ensure timely resolution or escalation
-Active engagement and coordination with the global investment banking, capital markets and research compliance team including input into and deployment of policies in the Americas
-Assessment of and actioning as appropriate Americas regulatory developments including drafting of policies and procedures
-Delivery of periodic training to investment banking, research and capital markets staff including new hires
-Investment Banking and Research Compliance Advisory, including advising on core compliance issues.
-Drafting and updating policies and procedures.
Required Background & Skills:
Seeking a highly motivated individual who is willing to actively participate for the Jefferies Compliance team in New York. Focus will be on providing compliance advice, training and monitoring for the Investment Banking, Research and Capital Markets business within the Global Control Group.
The candidate must:
-Think analytically and provide advice based on sound judgment
-Have excellent oral and written communication skills
-Be comfortable with creating and delivering effective presentations
-Work effectively in a team environment and foster effective relationships
-Willing to be flexible to cover different shifts and take on ad hoc
projects and reviews as needed
-Be able to react and engage in a fast paced environment, managing a wide variety of requests
-Be able to work positively and make decisions under time pressure
-Be able to interpret and apply SEC, FINRA and other regulatory rules
-Ideal candidate will have minimum of 5-7+ years Compliance or Legal
experience.
Qualifications:
-Bachelor degree required; Master’s or JD a plus.
In order to be considered candidates must submit a cover letter in addition to a resume.