Legal and Compliance Analyst - Jefferies Finance

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

Legal and Compliance Analyst - Jefferies Finance

POSITION: RIA Private Funds Compliance Analyst (New York)


  • Assist in monitoring, testing and managing compliance with the firm's regulatory obligations and compliance policies
  • Monitoring employee training metrics and assist with the development of training content
  • Assist in preparing regulatory filings (including Form ADV, Form PF, and other filings)
  • Assist in preparing for and responding to periodic audits and regulatory exams
  • Key resource with respect to ongoing data analytics and technology project work designed to support and enhance the compliance program
  • Provide support for various ad hoc compliance and regulatory projects
  • Assist with conflicts reviews, and AML and know-your-client requests and procedures
  • Conduct on-going email monitoring for the business unit
Manage information barriers and confidentiality arrangements

  • Jefferies Finance LLC is looking to hire a Compliance Analyst for its New York legal and compliance team.
  • Candidates should have 3-5 years of compliance experience at an investment bank, broker-dealer, investment manager. Ideal candidates will have experience working knowledge of the Investment Advisers Act, the Investment Company Act and other regulations relevant to private funds and investment advisory businesses.
  • Candidates must have a college degree, and be able to adapt to and excel in a fast growing and evolving business. They should be able to work independently, possess strong project management and organizational skills, and superior written and verbal communication skills.