DescriptionEquities Front Office Control & Supervision - AVP/VP
Roles & Responsibilities
The team provides supervisory control and support to US Equities Management and is the first line of defense to protect against reputational, regulatory, and commercial risks. It’s made up of appropriately licensed individuals (Series 7, 63, 57 and 24) that can perform various functions in support of the supervisory procedures and systems including, but not limited to the following:
- Responsible for partnering with Senior Business Managers, Supervisors, Compliance, Legal, Operational Risk, IT Security and Audit functions to develop, implement and maintain the supervisory program and to continue to improve a strong controls framework for the US Equities Business.
- Develop and implement supervisory policy procedures and best practices to ensure compliance. Training on such supervisory procedures and maintenance of the Firm’s Supervisory Checklist.
- Perform supervisory reviews and approvals as delegate of Equities Senior Management which includes Sales and Trading Commentary, Market Access Limits, New Clients, Email, Errors, T&E, Employee Personal Trades.
- Supervisory reviews and approvals consist of periodic monitoring of activity that is time sensitive.
- Follow up with Supervisors and if necessary, escalation to Equities Senior Management and Compliance.
- Works with Technology and Compliance to develop and utilize tools and reports necessary for appropriate Supervision.
- Works closely with the Supervisors and Compliance to proactively identify potential compliance and regulatory risks and work to resolve these issues.
- Resolves day to day trading and sales issues and coordinates interaction with Compliance and Legal for the resolution of interpretive or policy questions.
- Coordinate information for regulatory inquires to reasonably ensure it is appropriate and responsive to inquiries.
- Involvement in regulatory and business developments, assisting with ad-hoc projects and initiatives.
Primary Location Full Time Salary Range of $140,000 - $160,000.
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.