Jefferies Financial Group Inc. (NYSE: JEF) is a diversified financial services company engaged in investment banking and capital markets, merchant banking and the early stages of building an alternative asset management platform. Jefferies Group LLC, the global investment banking firm and our largest subsidiary, has been focused on serving clients for over 55 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 Finance LLC, a n affiliate of Jefferies Group LLC, is a leading commercial finance company that underwrites, syndicates and invests in primarily senior secured loans in the leveraged finance market to finance corporate growth and leveraged buyouts. Through its three asset management businesses, Jefferies Finance invests in middle market and broadly syndicated loans through proprietary and third-party funds and other structured products.
POSITION: RIA Private Funds Attorney & Compliance Officer (New York)
Work with and report directly to the business's General Counsel
Supervise regulatory and compliance matters across the company's Asset Management businesses
Perform periodic testing, and prepare and update policies and related training materials
Prepare regulatory filings (including Form ADV, Form PF, and other filings)
Assist in periodic audits and SEC exams
Manage information barriers and confidentiality arrangements
Assist with AML and know-your-client requests and procedures
Jefferies Finance LLC is looking to hire a Legal and Compliance Officer for its New York legal team.
Candidates should have 3-5 years of experience supervising regulated investment advisers at an investment bank, investment manager or major law firm with working knowledge of the Investment Advisers Act, the Investment Company Act and other regulations relevant to private funds and investment advisory businesses.
Candidates must be able to adapt to and excel in a fast growing and evolving business. They should be able to work independently, possess strong problem-solving and organizational skills, and superior written and verbal communication skills.
Internal Number: 5237417
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