Compliance Officer Job Description Jefferies Gmb H, based in Frankfurt, Germany, is the continental European hub with offices in Madrid, Paris, Milan, Amsterdam, Stockholm, Cascais, Larnaka and Warsaw.
Team Compliance Milan Role The Compliance Officer is responsible for general compliance topics of the Milan Branch (including the Rome sub-office) and assists on general compliance topics for the Frankfurt headquarter.
Key Responsibilities The key responsibilities are: - Providing advice to front office personnel (equities and fixed income, research, investment banking) of the Milan Branch.
- Building and maintaining strong working relationships with Business Management, Front Office desks, Operations, etc.
and with colleagues within the Compliance Department.
- Providing compliance support and advice covering cross border regulatory issues.
- Keeping abreast of legal, regulatory and best practice changes impacting the Milan Branch.
- Working collaboratively with colleagues in the Jefferies Gmb H Compliance Department on the implementation of new and ongoing regulatory changes, including the creation and updating of local compliance and anti-financial crime policies and training on new regulation.
- Assisting in maintenance of regulatory and exchange relationships, including dealing with exchange queries, investigations and audits, as well as formal regulatory enquiries from national regulators such as CONSOB and the Bank of Italy.
- Providing training to front office personnel on general regulatory matters such as codes of market conduct, sales/trading market practices as well as on other ad hoc regulatory matters.
- Responding to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of, and/or carrying out investigative procedures.
- Ensuring that all regulatory reports of the Milan Branch are duly compiled and filed with the regulators.
- Assisting the Central Compliance Team and the Anti-Financial Crime Compliance Team of Jefferies Gmb H. - Ad hoc compliance tasks and projects that will arise from time to time.
Person Specification The following skills and experience are required for this role: - The candidate should have general compliance experience and additional experience in either sales & trading or investment banking compliance.
- The candidate should have strong working knowledge of financial products (fixed income cash and derivative products and equities products).
- The candidate should have strong interpersonal and communication skills.
- The candidate should have strong time management and organisational skills and the ability to meet deadlines and work under pressure.
- Very good English language skills are required.
This role will suit an ambitious, career-minded individual who wants to work in a dynamic environment.
#LI-PS1 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.
At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives.
We have made a commitment 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 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.
All employees must Jefferies' COVID-19 protocol policy, which is subject to change.
Job ID 300000401844674
