This job has closed.

Jefferies · 6 hours ago

VP, Compliance Officer - Global Control Group (IB & Research)

San Francisco, CA

Full-time

Hybrid

Mid, Senior Level

$160K/yr - $180K/yr

6+ years exp

Jefferies is a leading global investment banking and capital markets firm seeking a Compliance Officer for its Global Control Group. The role involves advising on compliance matters related to investment banking and research, maintaining information barriers, and supporting regulatory inquiries.

BankingFinancial ServicesWealth Management

H1B Sponsor Likely

Responsibilities

Advise on information barriers, wall crossing procedures, sensitive information and need to know policies

Review research reports to identify, evaluate, and resolve issues related to the publication of Research product

Analyze and review potential transactions to facilitate Investment Banking conflict clearance process

Advise Research Analysts and Investment Bankers regarding Compliance issues related to Research product and Investment Banking transactions

Chaperone communications between Research Analysts and Investment Bankers

Maintain the Firm’s Watch and Restricted List and determine appropriate levels of restrictions and research quiet periods

Stay abreast of relevant changes to rules/regulations and work with relevant departments to implement policies and procedures or other controls necessary

Support regulatory inquiries and/or examinations and provide timely responses to the requests

Participate in additional projects to enhance efficiencies, identify and mitigate Compliance risk, and implement technological solutions

Qualification

Compliance experienceInvestment Banking knowledgeFINRA Rule understandingAnalytical skillsPresentation skillsInterpersonal skillsAttention to detailTeam orientedOrganizational skills

Required

Experience working in a Control Group and Investment Banking advisory and/or Research advisory function in an International Investment Bank

Good understanding of FINRA Rule 2241, Rules 138 and 139 safe harbors, Section 5 risks, the 2003 Global Research Settlement

Excellent written, verbal, and analytical skills

Highly motivated, strong attention to detail, team oriented, organized

Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

Excellent interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

Ability to work closely with regional and global partners and navigate a complex organization

6+ years' experience working in a Compliance Department, including 3+ years working in a Control Group

Willing to work hybrid in NY or NJ, or remote in CA

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)

Paid holidays

Paid parental leave

Company

Jefferies

Glassdoor3.9

Jefferies provides research and execution services in equity, fixed income, and foreign exchange markets.

Founded in 1962

New York, New York, USA

5001-10000 employees

http://www.jefferies.com

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)