Asset Management Compliance Officer

3 weeks ago


Rensselaer, United States Jefferies Financial Group Full time

DescriptionJefferies 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. Primary Responsibilities:Experience with Investment Management Regulation, including SEC, CFTC and NFA rules, regulations and practicesDaily interaction with business management, operations, finance and risk, providing compliance adviceCreation and maintenance of policies and proceduresReview of all marketing and sales materialsCreation of brochure disclosure documents and due diligence questionnairesAdministration of a compliance training programMaintenance and filing of SEC Forms, including ADV Part 1, Part 2A, Form PF and related filingsAnalysis, preparation and filing of various NFA and CFTC filingsMonitoring of Code of Ethics activities, including Conflicts of Interest, Personal Trading, Private Investments, Outside Business Activities and Affiliations, among other conflict reviewsRequired Background:JD is required5 10 years of Legal and/or Compliance experience at Registered Investment Adviser, dual registrant or law firm dealing with Private Funds and/or commodity poolsQualificationsAt 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. We practice equal opportunity for all, and 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 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 qualified disabilities, as appropriate, under applicable law. The salary range for this role is $130-$225KJob Field: ComplianceOrganization: CorporateSchedule: Full-time


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