Job Description
Jefferies is looking to recruit an Associate within the Firm’s Compliance Function with a focus on Central Compliance and Conduct Advisory. The candidate should have some experience in an Investment Banking or Broker dealer environment. The candidate should have around 3 to 5 years compliance, risk, audit or project management experience, but the firm is open to anyone with relevant experience looking to take the next step in their career.
The candidate should be a highly-motivated individual who is willing to actively participate as part of the Jefferies Compliance team.
Key Responsibilities & Tasks
Responsibilities will include, but not be limited to:
- Support and implement the annual Compliance Plan, identifying areas requiring additional monitoring and testing.
- Provide guidance on ethical and conduct related matters, working closely with business units to foster a culture of integrity and compliance.
- Providing compliance advice to the business or corporate functions as requested.
- Lead or support internal investigations in potential misconduct, maintaining objectivity and confidentiality throughout the process.
- Oversight of the Senior Management and Certification Regime Framework.
- Oversight of the Firm’s Conflict Management Governance Framework.
- Supporting the Firm’s Conduct Risk Framework.
- Working with other departments within the firm to enhance monitoring and supervisory policies and procedures.
- Organising and providing Compliance training.
- Supporting the development of a strong and consistent compliance culture across all areas of the business in London.
- Assisting in ad hoc compliance projects.
Direct experience in these areas is not a requirement, but willingness to learn is essential.
The Candidate Must
- Think analytically and provide advice based on sound judgment
- Work effectively in a team environment and foster effective relationships
- Be able to react in a fast-paced environment, managing a wide variety of requests
- Be able to work positively and make decisions under time pressure
- Be able to interpret and apply FCA, FINRA and other regulatory rules
- Have strong time management and organizational skills and ability to meet deadlines and work under pressure.
Qualifications/ Experience
- The candidate should be graduate calibre and have good technical as well as interpersonal and communication skills.
- The candidate should have around 3 to 5 years compliance, risk, audit or project management experience, but the firm is open to anyone with relevant experience looking to take the next step in their career.
