Compliance Officer, Control Room

Jefferies is looking to hire a Compliance Officer into its Global Control Group, IB and Research Compliance team. This is an exciting opportunity to join a fast-growing business and work in a dynamic role with broad exposure to Jefferies Investment Banking and Research departments.

Essential Duties & 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.

Required Background & Skills:

Ideally applicants should have the following skills and exposure:

• 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

Primary Location: New York Full Time Salary Range of $175,000 - $200,000.