Fixed Income Control Assistant Vice President - Fixed Income Management

Jefferies Group Inc   •  

New York, NY

Industry: Finance & Insurance


Less than 5 years

Posted 56 days ago

This job is no longer available.



This role will report to the Head of US Fixed Income Management Control on the following:

Primary Responsibilities:

· Daily review of electronic communications (emails, Bloombergs, and Instant messaging)

· Daily review of trading activity via trade blotters and exception reports to monitor for excessive mark-ups or downs, as of trades, cancel/corrects, errors or any irregular activity

· Pre-approve and review employee trading

· Review and approve sales/trader commentary and strategy

· Review Trace Reporting statistics

· Review marks and P&L for accuracy

· Review and approve new accounts

· Coordinate with Compliance to assist in enforcing the Firm's policies on the handling of non- public information including wall crossings and trading of securities on various compliance lists including the restricted list

· Assist on several Fixed Income annual and ad hoc projects

· Ensure client compliance with Qualified Institutional Buyer and 2111 Suitability Certificate requirements


Required Background/Skills:

· Strong communication skills (verbal and written)

· Team oriented, motivated individual

· Strong attention to detail

· Microsoft Office

· Bloomberg

Minimum Requirements/Qualifications:

· Bachelor's Degree

· Minimum 3 years direct compliance or general supervisory experience

· Must have knowledge of FI products (including Emerging Markets, High Yield, HighGrade, Munis, Mortgages, US Rates, FX)

· Series 7/24/63, preferably candidate will have, but will be required

Primary Location: US-NY-New York

Job: Compliance

Organization: Fixed Income

Schedule: Full-time

Employee Status: Regular

Job Level: Non-Management