Vp, Compliance Officer
1 month ago
Compliance Officer - Operations & Regulatory Reporting Oversight
**Description**:
- 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).
- 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
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.
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