Wealth Management Compliance VP, Corporate - Compliance

Jefferies   •  

New York, NY

Industry: Financial Services


5 - 7 years

Posted 295 days ago

This job is no longer available.

Jefferies, the global investment banking firm focused on serving clients for over 50 years, is a leader in providing insight, expertise and execution to investors, companies and governments. The firm provides a full range of investment banking, sales, trading, research and strategy across the spectrum of equities, fixed income, foreign exchange, futures and commodities, and also select asset and wealth management strategies, in the Americas, Europe and Asia. Jefferies Group LLC is a wholly-owned subsidiary of Leucadia National Corporation (NYSE: LUK), a diversified holding company.


Reports to the head of Equities compliance, who has oversight of Jefferies Private Wealth Management (JPWM)

Primary Responsibilities:

  • Responsible for supporting the JPWM business, including:  daily and periodic monitoring of AE activity; assist in policy creation, drafting and implementation that is relevant to JPWM; track regulatory developments effecting relevant businesses; assist in designing and implementing compliance training program
  • Assist with broader projects and initiatives impacting the overall JPWM platform

Required Background:

  • Minimum 5 years of compliance experience with at least 3 years of experience directly supporting a wealth management business
  • Series 7/24/63 qualifications and fluency in Spanish a plus