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Form of workCompliance Officer - Wealth Management & Investment Advisory
Jefferies, the global investment banking firm, has served companies and investors for over 50 years. Headquartered in New York, with offices in over 30 cities around the world, the firm provides clients with capital markets and financial advisory services, institutional brokerage, and securities research, as well as wealth and asset management. Jefferies Private Wealth Management is a boutique practice serving the complex needs of entrepreneurs, corporate executives, and family offices. Our growing business and open architecture platform brings sophisticated advisory services together with the global execution of Jefferies. Private Wealth Management professionals provide a full range of products, services, and capabilities to investors.
Primary Responsibilities:
This position is based in New York City reporting to the Head of Wealth Management Compliance covering Jefferies Wealth Management Group, which includes Jefferies Investment Advisers. The highly organized, control focused candidate will be primarily responsible for:
Primary Responsibilities:
- Provide compliance oversight and monitoring over Jefferies Brokerage/Advisory activities related to its Wealth Management business
- Maintain, update and submit Form ADVs for all related Wealth Management Businesses
- Enhancing overall control procedures and ensuring monitoring for adherence to firm procedures
- Creating and presenting training material regarding new rules, rule changes, regulatory initiatives, and firm policies and procedures
- Creating and updating policies and procedures to keep pace with new regulations and rule changes
- Actively participate on internal governance committees and industry working groups
- Providing business management with on-going regulatory advice on Wealth Management and private client matters
- Advising senior experienced financial advisers about complex sales considerations and product issues
- Working with business partners and internal control functions (i.e. Business management, IT, Operations etc.) to develop and enhance systems, tools, reports, and processes to monitor client and business activities
- Special projects
Required Background, Experience & Skills:
- Bachelor's degree
- 7+ years of high net worth/ private Wealth Management compliance experience, with expertise in open architecture platforms
- Strong investment product knowledge across new issue, equity, fixed income, derivatives, structured products and alternative investments
- Strong data analytics and technology proficiency. Ability to organize data sets for management reporting
- Knowledge of FINRA broker dealer regulation, Regulation BI, and SEC Investment Advisory rules
- Fluent in Spanish or Portuguese a plus
Additional Qualifications
- Ability to operate in a fast paced, dynamic and growing environment
- Ability to analyze issues with a critical lens. Action and resolution oriented
- Excellent writing skills
- Effective communications skills with the ability to develop and foster relationships
The salary range for this role is $140,000 - $170,000.
Jefferies 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.
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 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.
