Jefferies
AVP, Regulatory Affairs Specialist (Branch Inspection)
Jefferies, New York, New York, us, 10261
Job Description
We are seeking a seasoned professional to join our Regulatory Group as an Assistant Vice President, with a primary focus on conducting branch and non-branch location (NBL) inspections. This role is part of the Firm's Legal Department and plays a key role in ensuring regulatory compliance and oversight. While a legal background is welcome, a law license is not required.
Responsibilities: • Conduct in-person and remote inspections of branch and non-branch locations including pre-visit preparation, execution, reporting, remediation, and follow-up • Participate in industry regulatory forums to stay informed on best practices and regulatory developments • Contribute to governance-related activities and regulatory deliverables • Support ad hoc regulatory projects and initiatives as needed
Qualifications • Bachelor's degree required • Minimum of 10 years of experience in the financial services industry • Prior experience in financial services audit or branch inspections strongly preferred • Strong interpersonal skills with the ability to build and maintain relationships with internal stakeholders and external regulators • Proven ability to deliver high-quality work under tight deadlines • Effective project management skills • Proficiency in Microsoft Excel, Word, and PowerPoint • Willingness to travel as needed
Primary Location Full Time Salary Range of $130,000 - $145,000.
About Us
Jefferies Financial Group Inc. (''Jefferies,'' ''we,'' ''us'' or ''our'') is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia.
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 accommodations 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.
We are seeking a seasoned professional to join our Regulatory Group as an Assistant Vice President, with a primary focus on conducting branch and non-branch location (NBL) inspections. This role is part of the Firm's Legal Department and plays a key role in ensuring regulatory compliance and oversight. While a legal background is welcome, a law license is not required.
Responsibilities: • Conduct in-person and remote inspections of branch and non-branch locations including pre-visit preparation, execution, reporting, remediation, and follow-up • Participate in industry regulatory forums to stay informed on best practices and regulatory developments • Contribute to governance-related activities and regulatory deliverables • Support ad hoc regulatory projects and initiatives as needed
Qualifications • Bachelor's degree required • Minimum of 10 years of experience in the financial services industry • Prior experience in financial services audit or branch inspections strongly preferred • Strong interpersonal skills with the ability to build and maintain relationships with internal stakeholders and external regulators • Proven ability to deliver high-quality work under tight deadlines • Effective project management skills • Proficiency in Microsoft Excel, Word, and PowerPoint • Willingness to travel as needed
Primary Location Full Time Salary Range of $130,000 - $145,000.
About Us
Jefferies Financial Group Inc. (''Jefferies,'' ''we,'' ''us'' or ''our'') is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia.
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 accommodations 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.