Compliance Officer, Asset Management - Corporate (No Agencies Pls) Compliance Officer, Asset Management - Corporate  …

Jefferies
in New York, NY, United States
Permanent, Full time
Last application, 10 Jul 19
Competitive
Jefferies
in New York, NY, United States
Permanent, Full time
Last application, 10 Jul 19
Competitive
Compliance Officer, Asset Management - Corporate (No Agencies Pls)
Jefferies, the global investment banking firm, has served companies and investors for over 50 years. Headquartered in New York, with offices in over 30 cities around the world, the firm provides clients with capital markets and financial advisory services, institutional brokerage and securities research, as well as wealth and asset management. The firm provides a full range of investment banking services including underwriting, mergers and acquisitions, restructuring and recapitalization, and other advisory services across the Americas, Europe and Asia. Jefferies is a wholly-owned subsidiary of Jefferies Financial Group (NYSE: JEF), a diversified holding company.


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


Qualifications
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

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