Jefferies, the world's only independent full-service global investment banking firm focused on serving clients for over 50 years, is a leader in providing insight, expertise and execution to investors, companies and governments. Our firm provides a full range of investment banking, sales, trading, research and strategy across the spectrum of equities, fixed income, and foreign exchange, as well as wealth management, in the Americas, Europe and Asia. Jefferies Group LLC is a wholly-owned subsidiary of Jefferies Financial Group Inc. (NYSE: JEF), a diversified financial services company.
Excellent experience handling regulatory/compliance inquiries, data pulls, familiarity with the inquiry process and hands-on experience to handle them effectively
Experience with FINRA TAMMs Guidance and Annual Examination Priorities letter
Up to date knowledge of compliance and regulatory landscape pertaining to stocks, options, SWAPS, and OTC derivatives.
Excellent knowledge and experience in Equity front office compliance rules and regulatory reporting for stocks, options, SWAPS, such as:
15c3-5, RegSHO, Reg NMS, LULD, ACT, OATS, LOPR, EMIR, CMRS, etc.
Good experience managing equity front office compliance and regulatory projects
Good understanding of foreign regulations' impact on US market
Good inter-person skills and ability to gather compliance requirements and formulate an implementation strategy
Experience with Canadian secondary trading regulation a plus
Good understanding and experience concerning operation risk and cyber security
Strong IT project implementation experience with solid technical background