Compliance Officer

7 days ago

New York, New York, United States Jefferies Financial Group Full time
Job Title: AVP, Compliance Officer

Jefferies Financial Group Inc. is seeking a highly skilled AVP, Compliance Officer to join our team. As a key member of our Compliance department, you will be responsible for ensuring the effective operation of our trade surveillance systems and processes.

Key Responsibilities:
  • Act as a US point of contact for the firm's trade surveillance and monitoring program.
  • Be actively involved in the company's global communications surveillance program.
  • Develop key performance metrics and proactively identify opportunities to optimize the controls and data that support trade surveillance.
  • Undertake Quality Assurance on analyst reviews, ensuring work is of the highest quality and driving surveillance training priorities.
  • Support the central tuning and optimization teams by validating scenario output and facilitating global coordination to promote consistency across the program.
  • Manage escalations to Supervisors and, when necessary, traders and sales teams, with regard to supervisory issues, exceptions and obtaining sign-offs.
  • Keep abreast of industry standards and regulatory trends in surveillance, leveraging market and regulatory experience to drive new surveillance requirements and identify areas where controls can be improved.
Requirements:
  • An experienced Compliance trade surveillance professional with excellent technical knowledge and understanding of the mechanics of surveillance.
  • Experience leading a team.
  • Strong written and verbal communication skills.
  • 3-5 years professional experience in a trade surveillance or front office role.
  • Prior Fixed Income experience with detailed market and global product related knowledge (strongly preferred).
  • Experience in monitoring the effectiveness of trade surveillance systems and processes (e.g. NASDAQ SMARTS).
  • Knowledge of relevant local regulatory and market conduct rules and regulations.
  • Experience with calibration of trade surveillance applications.
What We Offer:
  • A competitive salary range of $110,000 - $125,000.
  • 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.
  • Paid time off packages that include planned time off (vacation), unplanned time off (sick leave), and paid holidays and paid parental leave.

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.

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