Client Onboarding Compliance Advisor

JOB DESCRIPTION

This document outlines the job description for a Compliance Officer at Jefferies LLC. The role involves advising on client onboarding, managing client due diligence questionnaires, and conducting cross-border jurisdictional assessments. Candidates must have a bachelor’s degree, a JD, at least five years of relevant experience, and skills in regulatory compliance, communication, and data analytics.

Reporting to: Managing Director in the Compliance Department

Job Description : Serves as compliance advisor on client onboarding issues (client due diligence requests and cross-border analysis).

Qualifications

• Highly motivated, strong attention to detail, team oriented but able to work independently , organized.
• Comfortable acting as an agent for positive change with agility and flexibility to take on new challenges.
• Ability to develop and manage relationships to implement business change aligned to regulatory expectations and internal risk control framework.
• Ability to create management information reporting and data analytics skills

Education/Experience

• Bachelor's degree required; JD required
• Minimum 5 years experience
• Experience and current knowledge of financial services activities, products and services, including interpretation and application of all related laws, regulations, and directives.
• Experience in compliance, legal or other control-related functions in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof.
• Superior written communication skills and excellent presentation skills
• Responsibilities:
• Client Due Diligence Questionnaires
• Coordinate internally with relevant stakeholders to respond to client due diligence questionnaires covering various topics including, internal controls/governance, cybersecurity, compliance policies/procedures, business-related information, etc.
• Maintain library of previously completed client due diligence questionnaires, applicable policies and procedures, Jefferies-related documents relevant to client questionnaires, etc.
• Cross-Border Assessments:
• Coordinate between the Firm’s Client On-Boarding Team, Legal, and relevant business line to conduct cross-border jurisdictional analysis to determine Jefferies ability to deal with clients in certain regions where Jefferies is not registered.
• Continuous inventory maintenance and assessments of Firm activities by country
• Analysis of cross border activities by legal entity

Primary Location: New York, NY Full Time Salary Range of $100,000-$140,000

About Us

Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services. With more than 40 offices around the world, we offer insights and expertise to investors, companies, and governments.

At Jefferies, we are committed to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients.

Jefferies is committed to creating and sustaining a workforce that welcomes individuals from all backgrounds to apply. Our employment decisions are made without regard to race, creed, color, national origin, ancestry, religion, pregnancy, age, medical condition, physical or mental disability, marital status, domestic partner status, sex, sexual orientation, gender, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodation to individuals with disabilities, as required by applicable law.

The salary offered will take into consideration an individual’s experience level and qualifications. In addition to salary, Jefferies Financial Group is proud to offer a comprehensive benefits package to eligible, full-time employees or part-time employees, who are scheduled to work at least 30 hours or more per week, including 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 (e.g., vacation), unplanned time off (e.g., sick leave), and paid holidays, and for full-time employees, paid parental leave.