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Head of Regulatory Compliance
2 months ago
Position Overview
This is a Hybrid role.
The selected candidate will join the Firm's Regulatory Group, which is dedicated to overseeing branch evaluations, compliance assessments, and various ad-hoc responsibilities. This group operates within the Legal Department of the Firm. While legal qualifications are appreciated, they are not a prerequisite for this role. The primary focus will be on branch evaluations, but the individual will also engage in additional functions managed by the Regulatory Group.
Key Responsibilities - Support the management of the Firm's branch evaluation program.
conduct inspections of both branch and non-branch locations, utilizing both in-person and remote methods; duties will encompass pre-visit arrangements, inspections, report drafting and dissemination, remediation, and follow-up actions; engage in industry regulatory initiatives, including conference calls, to discuss required and best practices.Additional Duties - Assist with various tasks undertaken by the Firm's Regulatory team.
support regulatory assessments by collecting information from Firm stakeholders, addressing exam inquiries, responding to findings, and preparing reports; aid in governance-related responsibilities; participate in special regulatory projects as needed.Required Qualifications
Bachelor's degree several years of experience in financial servicesPreferred Skills and Experience
readiness to travel experience in financial services auditing (prior branch evaluation experience is advantageous); capability to establish, nurture, and sustain strong professional relationships with both external regulators and internal teams; ability to produce high-quality work under tight deadlines; project management expertise; and proficiency in Microsoft Excel, Word, and PowerPoint.The compensation for this position will reflect the candidate's experience and qualifications. In addition to the base salary, Jefferies provides eligible employees with an annual discretionary incentive and retention bonus, along with competitive employee benefits, including medical, dental, and vision coverage; retirement plans; life, accident, and disability insurance; and wellness initiatives. Jefferies also offers comprehensive paid time off packages, which encompass planned vacation time, unplanned sick leave, paid holidays, and parental leave.
