- Senior
- Oficina en New York
Compliance Officer – Operations & Regulatory Reporting Oversight
Description:
The desired candidate has mid to senior level experience providing compliance advisory support for Operations and Regulatory Reporting Groups.
Role Overview
The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, timely and accurate reporting and robust client asset protection. This role drives governance across key operational processes, monitors regulatory changes and supports control frameworks aligned with SEC, FINRA and other applicable regulations
- Provide compliance advice, oversight on operational and finance rules and regulations for securities and swaps to Front Office, Middle and Back office. (e.g. Turnaround Rule, Margin, Settlements, Inter-Company bookings, clearing, corporate actions,
- Provide compliance advise on regulations governing financial and operational stability, including SEC Rule 15c3-1 (Net Capital), 15c3-3 (Customer Protection), SIPIC, and other applicable regulations
- Oversee compliance with operational controls related to clearing, settlements, custody and safeguarding of client assets
- Coordinate with Markets Advisory Compliance and Markets Surveillance on operational issues that require/involve product subject matter expertise.
- Monitor and surveil regulatory processes to ensure adherence to internal policies and external requirements
- Review/Manage Restricted Stock and Sales off a Registration Statement Program
- Actively monitor regulatory developments and trends, attend industry calls such as SIFMA & FIF and take appropriate action to ensure compliance with new or amended regulations.
- Provide compliance guidance and create oversight program for reg reporting, work with supervision, advisory compliance, testing, front office and IT to bridge gaps or provide expertise
- Ensure all regulatory reporting is considered as part of all NBCs
- Interact with technology support and risk management to ensure operational and reporting practices remain compliant with Firm policies and industry regulation
- Drafting new policies and recommending changes to current written procedures as needed
- Assisting with responses to regulatory inquiries, issue tracking, risk assessments and testing.
Qualifications/Skills Required:
- Minimum 8 -10 years financial operations compliance experience.
- Series 7 & 99 preferred
- Knowledge of broker-dealer regulatory compliance including FINRA, SEC, and Exchange specific requirements
- Strong analytical and problem-solving skills with an ability to interpret regulations and translate requirements into operational procedures
- 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
- Comfortable with different technology applications
- Strong written and verbal communications skills
Primary Location Full Time Salary Range of $190,000-$215,000.
Company
Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services. With more than 40 offices around the world, we offer insights and expertise to investors, companies, and governments.
At Jefferies, we are committed 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 workforce that welcomes individuals from all backgrounds to apply. Our employment decisions are made without regard to race, creed, color, national origin, ancestry, religion, pregnancy, age, medical condition, physical or mental disability, marital status, domestic partner status, sex, sexual orientation, gender, 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 accommodation to individuals with disabilities, as required by applicable law.
The salary offered will take into consideration an individual’s experience level and qualifications. In addition to salary, Jefferies Financial Group is proud to offer a comprehensive benefits package to eligible, full-time employees or part-time employees, who are scheduled to work at least 30 hours or more per week, including 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. Jefferies also offers paid time off packages that include planned time off (e.g., vacation), unplanned time off (e.g., sick leave), and paid holidays, and for full-time employees, paid parental leave.
