AVP, Compliance Officer - Registrations - Jefferies Financial Group : Job Details

Manage the registration function for Jefferies LLC a FINRA member Broker-Dealer and its various North American affiliates. Including providing support for various investment advisers, US CFTC Swap Dealer, and CIRO registered Canadian affiliate. Managing a team of two compliance analysts.

* Manage all employee licensing and registration activities for 2000+ employees for the Broker-Dealer. Ensuring team processes timely updates to various filings with FINRA including Form U4, Form BR, 8R individual applications with the NFA and employee disclosures among others.

* Filing firm applications with the various regulators such as Form BD, Form ADV, and Form 7R applications with the NFA.

* Implementing and managing the continuing education (FINRA regulatory element and IAR) programs. Monitoring registered persons progress and addressing issues with supervisory principals as necessary.

* Ability to manage and monitor registered persons reporting requirements for Quarterly Certifications such as Permissive Registrations Certifications and the Annual Compliance Questionnaire. Proficiency to address issues and report them to management as needed.

* Manage and improve the OBA process from initial input of the OBA to final approval.

* Work independently on one-off yearly projects such as the TN privilege tax renewal, Ontario Capital Markets Participation Fee payment and FINRA yearly renewal payments.

* Review and update registration policies and procedures annually and/or as required by new or updated regulations.

* Ability to respond to Internal Audits and FINRA requests in a timely manner and the ability to interact with regulators and firm employees in a professional manner.

Skills and Qualifications:

* SIE, S7 licensed (S24 a plus).

* Bachelor's Degree required.

* Minimum of 5-7 years of direct experience in processing FINRA, NFA, SEC, and SRO firm and agent regulatory registrations.

* Solid understanding of SRO rules for securities and futures licensing and proficiency in FINRA Gateway and NFA ORS systems.

* Experience with Investment Advisor and Canadian registration.

* Ability to work effectively with other Compliance Officers, other business lines, and support functions.

* Strong proficiency in office programs, with particular emphasis on Excel.

Primary Location Full Time Salary Range of $100,000 - $120,000

The salary offered will take into consideration an individual's experience level and qualifications. In addition to salary, Jefferies offers, for eligible employees, an annual discretionary incentive and retention bonus, competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Jefferies also offers paid time off packages that include planned time off (vacation), unplanned time off (sick leave), and paid holidays and paid parental leave.