Head of Fixed Income Compliance - Corporate

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Jefferies
  • 18 Apr 19

Head of Fixed Income Compliance - Corporate

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.

Position/ Role:

  • Manage team of compliance officers supporting the Firm's Fixed Income Business, including full service debt securities trading and sales platform, registered swap dealer, FX and futures businesses
  • Implementation of compliance programs/controls frameworks relevant to regulatory risks and requirements
  • Actively manage trade surveillance program; participate in new product approval process, track relevant regulatory developments, draft and revise written policies as needed
  • Develop and administer compliance training program and provide sales and trading staff with regulatory advice, appropriate management information and compliance support with respect to the regulatory aspects of the business they operate

Required Background:
  • 10+ years compliance experience working at an investment bank or similar regulated financial company
  • Working knowledge of all fixed income securities, FX and futures asset classes
  • Working knowledge of OTC derivative products and related Dodd Frank regulations
  • Ability to draft policies and procedures related to the Firm's fixed income sales and trading activities
  • Series 7 and 24 and 3 a plus
  • Strong knowledge of the US federal securities laws; knowledge of other US and non-US regulatory requirements (e.g., CFTC, FCA) a plus
  • Solutions oriented with a strong track record supporting compliance frameworks related to fixed income securities, derivatives, FX and futures trading and sales businesses
  • Effective project management, multi-tasking and time management skills with ability to meet tight deadlines
  • Proficiency in Excel, Word and PowerPoint
  • Strong written/oral communication, organizational, and interpersonal skills
  • Ability to work as part of a team and independently in a fast-paced environment