Regulatory Compliance Analyst - Corporate- Compliance

  • Competitive
  • Jersey City, NJ, USA
  • Permanent, Full time
  • Jefferies
  • 19 Apr 19

Regulatory Compliance Analyst - Corporate- Compliance

P osition:
This hire will be a member of the Firm's Regulatory Compliance group which is responsible for inquiry responses, exam oversight and governance related tasks. The Firm is looking for an excellent communicator, who is energetic and willing to learn and drive change initiatives.

Electronic Blue Sheet (EBS) Responsibilities

    track incoming EBS requests (FINRA and SEC) ensure completion and submission of EBS data to requesting regulator perform data analysis, complete monthly metrics, and present findings to designated internal personnel drive and implement governance initiatives


Additional Responsibilities
    assist in planning and execution of Compliance testing program (testing of controls/policy adherence) assist in review of Jefferies' locations outside of New York City (branch review program) assist with governance (e.g., tracking updates, targeted delivery) of policies and procedures assist in response s to regulatory requests (via exams and inquiries) , including big data collection and analysis


Qualifications
Education/Experience
    Bachelor's degree required (Engineering or Computer science background a plus) 1-3 years' financial markets experience required Regulatory experience (SEC, FINRA, CBOE, NFA, CFTC, etc) a plus
Additional Qualifications
  • "big data analytics" skills
  • comfortable with different technology applications and data analysis
  • proficiency in Microsoft Excel, Word and PowerPoint
  • comprehensive analytical and problem solving skills
  • strong written and verbal communications skills
  • team player - one who is able to prioritize in a fast moving, high pressure, constantly changing environment
  • ability to build, develop and maintain solid working relationships throughout various businesses and corporate departments