Regulatory Affairs Specialist
Position
This hire will be a member of the Firm’s Regulatory group which is responsible for exam oversight , branch inspections, regulatory change tracking, governance related tasks and additional ad-hoc tasks. The Firm’s Regulatory Group is housed within its Legal Department. While attorneys are encouraged to apply, this position does not require a law license.
Primary Responsibilities
- Administer regulatory change program
- review of vendor tools/applications available for regulatory change monitoring
- oversee selection/implementation/administration of vendor tool/application if warranted
- summarize and distribute new/amended rule proposals and rules to internal constituents
- oversee initial impact assessment (e.g., rules applicability vs firm’s lines of business)
- ensure designation of internal owner(s) of new/amended rule implementation or creation of a Project Team if warranted
- track status of regulatory change internal readiness
- participate in industry groups/calls on regulatory change
- lead or contribute to the management of regulatory exams and delivery of requested items; respond to exam findings and reports
- conduct branch inspections; track results, write up and distribute inspection reports
- assist with other regulatory deliverables
- assist with governance related tasks
- participate in or lead ad hoc regulatory projects
Required Background
- Bachelor’s degree
- 10 years of financial services experience
Desired Experience/Skills
- ability to build, develop and maintain solid working relationships both externally (e.g. regulators) and internally
- ability to deliver high quality work product under time sensitive deadlines
- equities &/or fixed income experience in either a front office or control position role
- regulatory experience (SEC, FINRA, CBOE, NFA, CFTC, etc.)
- project Management skills
proficiency in Microsoft Excel, Word and PowerPoint
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Primary Location Full Time Salary Range of $150,000 - $165,000
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.