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Jefferies · 3 hours ago

Compliance Training and Development Specialist

New York, NY

Full-time

Onsite

Senior Level

$150K/yr - $175K/yr

7+ years exp

Jefferies is a leading global investment banking and capital markets firm, and they are seeking an experienced Compliance Training and Development Specialist to join their team. This role involves designing, implementing, and overseeing compliance training programs to ensure adherence to regulatory and ethical standards across the organization.

BankingFinancial ServicesWealth Management

Responsibilities

Develop, design and update training materials, including presentations, manuals, and online courses, to address regulatory requirements and company policies

Conduct engaging and informative training sessions for employees at all levels, ensuring a thorough understanding of compliance obligations

Maintain records of training activities, monitor compliance with training requirements, prepare reports for senior management and regulatory bodies, and implement training improvement plans

Stay current with regulatory changes and industry best practices to ensure training content remains relevant and accurate

Identify areas of compliance risk and develop targeted training to mitigate potential issues

Work closely with stakeholders from other departments, including Legal, Risk Management, and Human Resources, to ensure a cohesive approach to compliance training and build a robust cross-functional training and development program

Collaborate with external training providers, industry associations, and professional organizations to offer relevant training opportunities and resources

Regularly evaluate the effectiveness of training programs and implement improvements based on feedback and assessments

Work with Internal Audit and Regulatory Exam teams on inquiries

Act as a technical expert/ lead integrating cross-function understanding for training and development related areas

Use sophisticated analytical thought to exercise judgement and identify solutions

Work autonomously as the lead and guide others within area of expertise

Qualification

Compliance training designRegulatory knowledgeProject managementE-learning tools proficiencyPublic speakingAnalytical skillsGoal settingWritten communicationTeam collaborationDetail-orientedAdaptabilityIntegrityRelationship buildingIndependent work

Required

Bachelor's degree in a related field such as Business, Law, or Finance

7 + years of experience in compliance, preferably within a broker dealer or financial services environment

3 + years of experience designing, delivering, and managing training, learning and development programs

In-depth knowledge of regulatory requirements, including SEC, FINRA, and other relevant regulations, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements

Strong project management abilities, including the capacity to plan, organize, execute, and evaluate multiple training initiatives concurrently

Ability to establish goals and objectives that support the strategic plan and direction of the function

Ability to work collaboratively and build relationships across teams and functions

Ability to analyze, organize and prioritize work while meeting multiple deadlines

Strong presentation and public speaking abilities

Excellent written and verbal communication skills

Proficiency in developing and using e-learning tools and platforms

Proficiency in using computer applications including MS Office

Detail-oriented with a strong focus on accuracy and quality

High level of integrity and ethical judgment

Ability to work independently and as part of a team

Adaptability to a fast-paced and dynamic work environment