SVP, Fixed Income Compliance Advisory - E-Trading
Apply NowCompany: Jefferies Financial Group
Location: New York, NY 10025
Description:
Job Description
SVP, Fixed Income Compliance Advisory
Level: SeniorVice President
Reporting to: US Head of Fixed Income Compliance
Job Description:
The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with E-Trading and Credit products.
Responsibilities:
The desired candidate has senior level experience providing compliance advisory support for Sales and Trading across all Fixed Income products with a special focus on Electronic Trading:
Required Background/ Desired Experience & Skills:
Primary Location Full Time Salary Range of $200,000 - $275,000
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 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 committed to creating and sustaining a diverse workforce and encourages applicants from all backgrounds to apply. This includes applicants from historically underrepresented groups, including women, racial and ethnic minorities, members of the LGBTQ+ community, military veterans, and individuals with disabilities or who are neurodiverse.
Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that 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 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.
SVP, Fixed Income Compliance Advisory
Level: SeniorVice President
Reporting to: US Head of Fixed Income Compliance
Job Description:
The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with E-Trading and Credit products.
Responsibilities:
The desired candidate has senior level experience providing compliance advisory support for Sales and Trading across all Fixed Income products with a special focus on Electronic Trading:
- Providing regulatory and compliance advice to business partners about complex sales and trading issues, with a focus on Credit E-Trading, Investment Grade, High Yield and Emerging Markets
- Deep knowledge of the fixed income market structure, along with insights into how evolving dynamics have influenced business operations and heightened regulatory oversight.
- Familiarity with various E-Trading platforms and contribution to the development of systems and tools for monitoring activity (e.g., Bloomberg, MarketAxess, Tradeweb, Tumid, etc.).
- Working with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports, and processes to monitor business activities.
- Recognizes the growing shift of fixed income trading towards electronic markets and the associated risks involved in this transition.
- Design and present training material regarding new rules, rule changes, regulatory initiatives, and firm policies.
- Creating and updating policies and procedures to keep pace with new regulations and rule changes.
- Actively participate on internal governance committees and industry working groups.
- Responding to examination requests, regulatory inquiries, and audit requests, in addition to developing remediation plans for any identified exceptions.
- Lead and participate on special projects.
Required Background/ Desired Experience & Skills:
- Bachelor's degree
- 10-12 years of compliance experience, preferably in a trading advisory capacity
- Ability to work in a fast-paced dynamic environment
- Ability to identify regulatory risks and escalate to managers
- Experience engaging with regulatory authorities
- Understanding of cross-border issues
- Working knowledge of Bloomberg
- Knowledge of FINRA, SEC, and other regulatory rules and regulations
- Fluent in Excel, Word, and PowerPoint
Primary Location Full Time Salary Range of $200,000 - $275,000
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 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 committed to creating and sustaining a diverse workforce and encourages applicants from all backgrounds to apply. This includes applicants from historically underrepresented groups, including women, racial and ethnic minorities, members of the LGBTQ+ community, military veterans, and individuals with disabilities or who are neurodiverse.
Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that 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 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.