AVP - Control room

About Us

Jefferies Financial Group Inc. ('Jefferies, 'we, 'us or 'our) is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia.

Key Responsibilities:

• Advise on SEBI requirements under the applicable Merchant Banking and Research Analysts regulations, as well as internal policies and compliance standards relevant to Investment Banking activities.
• Maintain the Firm's Watch and Restricted Lists and determine appropriate restrictions and research quiet periods.
• Chaperone communications between Research analysts and Investment Banking personnel.
• Provide guidance on information barriers, wall-crossing procedures, insider lists, Watch and Restricted Lists, and need-to-know policies.
• Identify, assess, and resolve issues relating to the publication of Research products.
• Review and analyze potential transactions to support the Investment Banking conflict clearance process.
• Support SEBI and exchange inspections, regulatory enquiries, internal audits, and compliance reviews relating to the Investment Banking and Merchant Banking businesses.
• Develop and deliver targeted compliance training and guidance for Investment Banking and Research personnel.
• Undertake additional projects to improve efficiency, identify and mitigate compliance risks, and implement technological solutions.

Relevant Experience and Competencies:

• Experience working in a Control Group and Investment Banking advisory and/or Research advisory function in an International Investment Bank.
• Knowledge of SEBI, SFC, and MAS rules relating to Investment Banking and Research; FINRA Rule 2241; the safe harbours under Rules 138 and 139; Section 5 risks; and the Global Research Settlement.
• Excellent written and verbal communication skills, supported by strong analytical abilities.
• Strong presentation skills, with the ability to explain complex problems and solutions clearly and concisely.
• Excellent interpersonal skills and the ability to collaborate effectively with colleagues at all levels of the organization
• Ability to work closely with regional and global partners and navigate a complex organization.

Experience & Professional Qualifications:

• 5–7 years of relevant experience in Legal or Compliance.
• A Chartered Accountant or Company Secretary or LLB or MBA is preferred.

Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, 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 accommodations to individuals with disabilities, as required by applicable law.

We have been made aware of bad actors falsely claiming to be associated with Jefferies Group soliciting individuals to attend virtual job interviews, complete online tests or courses and sending fictitious employment offer letters.

Please note that any email contact with Jefferies personnel will come from an @jefferies.com email address. Further, Jefferies will not notify shortlisted candidates through social media platforms (e.g. WhatsApp or Telegram) or ask candidates to make payment to participate in the hiring process.