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Compliance Analyst, Corporate- Regulatory Compliance

at Jefferies - New York City, New York 13 Days Open
Description
Compliance Analyst, Corporate- Regulatory Compliance
Requirements
About Jefferies

Jefferies, the global investment banking firm focused on serving clients for over 50 years, is a leader in providing insight, expertise and execution to investors, companies and governments. The firm provides a full range of investment banking, sales, trading, research and strategy across the spectrum of equities, fixed income, foreign exchange, futures and commodities, and also select asset and wealth management strategies, in the Americas, Europe and Asia. Jefferies Group LLC is a wholly-owned subsidiary of Leucadia National Corporation (NYSE: LUK), a diversified holding company.

Position:

The candidate will be a member of the Firm’s Regulatory Compliance & Policy group which is responsible for inquiry responses, exam oversight and several governance related tasks.  

Primary Responsibilities:

Electronic Blue Sheets (EBS)

  • track incoming Electronic Blue Sheet (EBS) requests (FINRA and SEC)
  • ensure completion and submission of  EBS data to requesting regulator
  • perform data analysis, complete monthly metrics, and present findings  to designated personnel
  • drive and implement governance initiatives ( potential use of third party tools, etc)

Additional Responsibilities

  • assist in planning and execution of Compliance testing program  (testing of controls/policy adherence)
  • assist in review of Jefferies’ locations outside of New York City (branch review program)
  • assist with governance (e.g., tracking updates, targeted delivery) of policies and procedures
  • assist in data collection to be used in response to regulatory requests (via exams and inquiries)

Required Background:

 Qualifications

  • “big data analytics” skills
  • comfortable with different technology applications and data analysis
  • proficiency in Microsoft Excel, Word and PowerPoint
  • comprehensive analytical and problem solving skills
  • strong written and verbal communications skills
  • team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
  • ability to build, develop and maintain solid working relationships throughout various businesses and corporate departments  

Education/Experience:

  • Bachelor’s degree,  will consider recent college graduates
  • Engineering or Computer science background a plus
  • 1-2  years’ financial markets experience a plus
  • Regulatory experience (SEC, FINRA, CBOE, NFA, CFTC, etc) a plus

Posted 01/10/2017

  • Full Time position
  • Compensation will be Market Rate

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