Jefferies
Compliance Training and Development Specialist
Job Description We are seeking an experienced Compliance Training & Development Specialist to join our team. This critical role involves designing, implementing, and overseeing comprehensive compliance training programs to ensure that all employees adhere to the firm's regulatory and ethical standards.
Key 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 Legal, Risk Management, and Human Resources to ensure a cohesive approach to compliance training and build a robust cross‑functional 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 judgment and identify solutions.
Work autonomously as the lead and guide others within area of expertise.
Qualifications
Bachelor's degree in Business, Law, Finance, or related field.
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 (SEC, FINRA, etc.) and enterprise governance frameworks.
Strong project management abilities, including planning, organizing, executing, and evaluating 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.
Strong presentation and public speaking abilities.
Excellent written and verbal communication skills.
Proficiency in e‑learning tools and platforms, and in Microsoft 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.
Adaptable to a fast‑paced and dynamic work environment.
Preferred certifications such as Certified Compliance and Ethics Professional (CCEP) or similar.
Benefits
Competitive salary and performance‑based bonuses.
Comprehensive health, dental, and vision insurance plans.
401(k) retirement plan with company match.
Paid time off and holiday schedule.
Professional development and continuing education opportunities.
Primary Location:
New York
Employment Type:
Full Time
Salary Range:
$150,000–$175,000
About Jefferies 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.
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.
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.
#J-18808-Ljbffr
Job Description We are seeking an experienced Compliance Training & Development Specialist to join our team. This critical role involves designing, implementing, and overseeing comprehensive compliance training programs to ensure that all employees adhere to the firm's regulatory and ethical standards.
Key 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 Legal, Risk Management, and Human Resources to ensure a cohesive approach to compliance training and build a robust cross‑functional 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 judgment and identify solutions.
Work autonomously as the lead and guide others within area of expertise.
Qualifications
Bachelor's degree in Business, Law, Finance, or related field.
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 (SEC, FINRA, etc.) and enterprise governance frameworks.
Strong project management abilities, including planning, organizing, executing, and evaluating 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.
Strong presentation and public speaking abilities.
Excellent written and verbal communication skills.
Proficiency in e‑learning tools and platforms, and in Microsoft 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.
Adaptable to a fast‑paced and dynamic work environment.
Preferred certifications such as Certified Compliance and Ethics Professional (CCEP) or similar.
Benefits
Competitive salary and performance‑based bonuses.
Comprehensive health, dental, and vision insurance plans.
401(k) retirement plan with company match.
Paid time off and holiday schedule.
Professional development and continuing education opportunities.
Primary Location:
New York
Employment Type:
Full Time
Salary Range:
$150,000–$175,000
About Jefferies 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.
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.
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.
#J-18808-Ljbffr