Job Description

Description

Company Overview

Jefferies Financial Group Inc. (NYSE: JEF) is a diversified financial services company engaged in investment banking and capital markets, merchant banking and the early stages of building an alternative asset management platform. Jefferies Group LLC, the global investment banking firm and our largest subsidiary, has been focused on serving clients for over 60 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.

Founded in 2004, Jefferies Finance LLC, is a leading leverage loan arranger, investor and investment adviser owned equally by Jefferies Group LLC and MassMutual.  Jefferies Finance and its subsidiaries manage over $15 billion across two primary business lines:

Loan Underwriting and Arrangement:  Jefferies Finance arranges, underwrites and syndicates leveraged loans for Sponsors and their portfolio companies globally to finance buyouts and corporate growth.
Credit Investment Management:  Our private credit platform, Jefferies Credit Partners, is a leading direct lender and investment adviser that invests proprietary and third-party capital invested across comingled funds, separately managed accounts and CLOs in portfolios of senior debt investments made to private equity sponsor owned companies. 

Position:  Compliance Officer

Job Description

Jefferies Finance is looking to hire a Vice President within the Firm’s legal and compliance team  to assist with maintaining a robust compliance program for the Firm’s investment advisory business.  

Primary Responsibilities

Manage the day-to-day regulatory compliance matters across the Firm’s investment management business;
Prepare regulatory filings (including Form ADV, Form PF, CA DBO and other filings), annual reviews and risk assessments;
Assist with the monitoring and conducting of compliance  testing, and prepare and update policies and procedures and related training materials;
Assist in periodic audits and SEC exams;
Provide real-time review and comments to  to marketing materials and related disclaimers and disclosures, advise on foreign marketing rules and ensure compliance with relevant marketing regulations in the US, Europe and other relevant markets;
Manage restricted lists and information barriers for loans and securities trading;  
Perform initial and periodic due diligence on third -party vendors;
Prepare and update policies and procedures  to ensure appropriate controls  are in place to support and monitor the Firm’s current and  new business/products, ensuring  consistency with  group standards and procedures; 
Assist with conflict reviews, onboarding new clients, AML and know-your-client requests,  oversee the collection and review of client KYC information, and track side letter obligations; and
Provide support for various ad hoc compliance issues and projects to support and enhance the Firm’s regulatory compliance program.

Qualifications

JD degree.
Candidates should have  6-10 years of relevant experience working with  registered investment advisers, the Investment Advisers Act, the Investment Company Act and other rules and regulations relevant to private funds and investment advisory businesses.   
Candidates must be able to adapt to and excel in a fast growing and evolving business with the ability to work independently, possessing strong problem-solving and organizational skills, and superior written and verbal communication skills. 
Prior in-house or law firm experience with marketing compliance and disclosure regulations desired.

Qualifications

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. We practice equal opportunity for all, and 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 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 qualified disabilities, as appropriate, under applicable law.  

It is Jefferies’ policy that all employees be fully vaccinated with a booster against COVID-19 in order to enter any Jefferies office or participate in any Jefferies or client event in person.  Should an offer of employment be made, your acceptance of that offer means that you will comply with this policy.  You will be advised of your anticipated schedule to be in the office should we move forward with the offer.  Please note that all visitors must be fully vaccinated against COVID-19 to enter a Jefferies office.