POSITION: RIA Private Funds Compliance Analyst (New York) PRIMARY RESPONSIBILITIES: Assist in monitoring, testing and managing compliance with the firm's regulatory obligations and compliance policies Monitoring employee training metrics and assist with the development of training content Assist in preparing regulatory filings (including Form ADV, Form PF, and other filings) Assist in preparing for and responding to periodic audits and regulatory exams Key resource with respect to ongoing data analytics and technology project work designed to support and enhance the compliance program Provide support for various ad hoc compliance and regulatory projects Assist with conflicts reviews, and AML and know-your-client requests and procedures Conduct on-going email monitoring for the business unit Manage information barriers and confidentiality arrangements Qualifications REQUIRED BACKGROUND: Jefferies Finance LLC is looking to hire a Compliance Analyst for its New York legal and compliance team. Candidates should have 3-5 years of compliance experience at an investment bank, broker-dealer, investment manager. Ideal candidates will have experience working knowledge of the Investment Advisers Act, the Investment Company Act and other regulations relevant to private funds and investment advisory businesses. Candidates must have a college degree, and be able to adapt to and excel in a fast growing and evolving business. They should be able to work independently, possess strong project management and organizational skills, and superior written and verbal communication skills.
Legal and Compliance Analyst - Jefferies Finance
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