Jefferies · 1 day ago
Compliance Officer
New York, NY
Full-time
Onsite
Senior Level, Lead/Staff
$190K/yr - $215K/yr
8+ years expJefferies 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. The Compliance 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.
BankingFinancial ServicesWealth Management
Responsibilities
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
Qualification
Required
Minimum 8 -10 years financial operations compliance experience
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
Preferred
Series 7 & 99 preferred
Benefits
Medical, dental & vision coverage
401(k)
Life, accident, and disability insurance
Wellness programs
Paid time off packages that include planned time off (e.g., vacation), unplanned time off (e.g., sick leave), and paid holidays
Paid parental leave
Company
Jefferies
Jefferies provides research and execution services in equity, fixed income, and foreign exchange markets.
5001-10000 employees
H1B Sponsorship
Jefferies has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (147)
2024 (122)
2023 (83)
2022 (183)
2021 (169)
2020 (60)
Funding
Current Stage
Late StageTotal Funding
unknown2012-11-12Acquired
Leadership Team
Shekhar Asnani
Vice President Investment Banking
Cameron Lester
Managing Director, Global Co-head of Tech Investment Banking
Recent News
2026-01-08
2026-01-07
2026-01-05
Company data provided by crunchbase