Jefferies
Asset Management Compliance Officer - (Job Number: 220001R9)
Jefferies, New York, New York, us, 10261
Asset Management Compliance Officer - (Job Number: 220001R9)
Pay Competitive Location New York/New York Employment type Full-Time Job Description
Req#: 61803 !*! 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. Primary Responsibilities: Experience with Investment Management Regulation, including SEC, CFTC and NFA rules, regulations and practices Daily interaction with business management, operations, finance and risk, providing compliance advice Creation and maintenance of policies and procedures Review of all marketing and sales materials Creation of brochure disclosure documents and due diligence questionnaires Administration of a compliance training program Maintenance and filing of SEC Forms, including ADV Part 1, Part 2A, Form PF and related filings Analysis, preparation and filing of various NFA and CFTC filings Monitoring of Code of Ethics activities, including Conflicts of Interest, Personal Trading, Private Investments, Outside Business Activities and Affiliations, among other conflict reviews Required Background: JD is required 5 – 10 years of Legal and/or Compliance experience at Registered Investment Adviser, dual registrant or law firm dealing with Private Funds and/or commodity pools !*! At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives. We have made a commitment 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 an equal employment opportunity employer. We practice equal opportunity for all, and all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by 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 qualified disabilities, as appropriate, under applicable law. The salary range for this role is $130-$225K https://www.jefferies.com/Disclaimers/Pages/2973 Jefferies Group LLC is an American multinational independent investment bank and financial services company that is headquartered in New York City. Notice
Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000. Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility. An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report . NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.
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Pay Competitive Location New York/New York Employment type Full-Time Job Description
Req#: 61803 !*! 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. Primary Responsibilities: Experience with Investment Management Regulation, including SEC, CFTC and NFA rules, regulations and practices Daily interaction with business management, operations, finance and risk, providing compliance advice Creation and maintenance of policies and procedures Review of all marketing and sales materials Creation of brochure disclosure documents and due diligence questionnaires Administration of a compliance training program Maintenance and filing of SEC Forms, including ADV Part 1, Part 2A, Form PF and related filings Analysis, preparation and filing of various NFA and CFTC filings Monitoring of Code of Ethics activities, including Conflicts of Interest, Personal Trading, Private Investments, Outside Business Activities and Affiliations, among other conflict reviews Required Background: JD is required 5 – 10 years of Legal and/or Compliance experience at Registered Investment Adviser, dual registrant or law firm dealing with Private Funds and/or commodity pools !*! At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives. We have made a commitment 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 an equal employment opportunity employer. We practice equal opportunity for all, and all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by 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 qualified disabilities, as appropriate, under applicable law. The salary range for this role is $130-$225K https://www.jefferies.com/Disclaimers/Pages/2973 Jefferies Group LLC is an American multinational independent investment bank and financial services company that is headquartered in New York City. Notice
Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000. Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility. An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report . NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.
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