ECM Compliance Officer - Corporate

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Jefferies
  • 16 Feb 19

ECM Compliance Officer - Corporate

Jefferies, the global investment banking firm, has served companies and investors for 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 research and execution services in equity, fixed income, foreign exchange, futures and commodities markets, and a full range of investment banking services including underwriting, mergers and acquisitions, restructuring and recapitalization, and other advisory services, with all businesses now operating across the Americas, Europe and Asia. Jefferies LLC is a wholly-owned subsidiary of Jefferies Financial Group (NYSE: JEF).

Essential Duties & Responsibilities:
This position is for an ECM Compliance Officer, sitting in the Control Group

  • Assist and advise on Equities and Fixed Income Capital Markets transactions
  • Advise on block trades, Regulation M, and Greenshoe options
  • Review and clear transactional conflicts
  • Maintenance of the Firm's Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
  • Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies

Seeking a highly-motivated individual who is willing to actively participate as part of the Jefferies Compliance team. The candidate must:
  • Think analytically and provide advice based on sound judgment
  • Understand Capital Markets rules and transactions
  • Be comfortable with creating and delivering effective presentations
  • Work effectively in a team environment and foster effective relationships
  • Willing to be flexible to cover different shifts and take on ad hoc projects
  • 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 SEC, FINRA and other regulatory rules
  • Masters or J.D. required; Bachelors acceptable with 3-6 years relevant Legal or Compliance experience, including in Capital Markets Compliance or Control Group.