AVP, Compliance Officer

3 weeks ago

New York, New York, United States Jefferies Financial Group Full time

Job Title: AVP, Compliance Officer - Trade Surveillance Expert

Job Summary:

We are seeking an experienced Compliance Surveillance Professional to join our team as an AVP, Compliance Officer - Trade Surveillance Expert. In this role, you will be responsible for leading our trade surveillance program, ensuring compliance with regulatory requirements, and driving innovation and continuous improvement within the global Compliance monitoring program.

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.
  • Help drive innovation and continuous improvement within the global Compliance monitoring program through management of strategic projects as well as the development and implementation of global frameworks and best practices.
  • Develop key performance metrics and proactively identify opportunities to optimize the controls and data that support trade surveillance, facilitating continuous improvement.
  • 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, working in partnership with central governance and change management teams in the UK and US.
  • 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.
  • Act as a regional contact point and subject matter expert for surveillance product owners and internal Technology teams.
  • Ensure trade surveillance data is accurate, complete and timely for the effective operation of trade surveillance systems.
  • Perform recurring and ad-hoc metrics reporting and analysis using Word / Excel / PowerPoint / Other.
  • Perform issue and risk management analysis.

Requirements:

  • An experienced Compliance trade surveillance professional who has 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 racing 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.
  • Experience in managing the surveillance change process, such as ensuring business and functional requirements are met, according to the governance framework.
  • Strong quantitative and qualitative analytical skills and a creative and flexible approach to problem solving.
  • Subject matter expertise in trade surveillance scenarios / market abuse red flags.
  • Excellent time management skills and ability to execute tasks within tight deadlines.
  • Keen attention to detail.
  • A strong sense of ownership and accountability for work product.
  • Fluency with MS Office tools, particularly Excel and PowerPoint.

What We Offer:

Jefferies Financial Group Inc. offers 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. Additionally, we offer paid time off packages that include planned time off (vacation), unplanned time off (sick leave), and paid holidays and paid parental leave.

About Us:

Jefferies Financial Group Inc. 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 committed to creating and sustaining a diverse workforce and encourages applicants from all backgrounds to apply. This includes applicants from historically underrepresented groups, including women, racial and ethnic minorities, members of the LGBTQ+ community, military veterans, and individuals with disabilities or who are neurodiverse. 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.

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