SVP, Senior Swap Dealer Compliance Officer

Job Description:  Serves as key function/business/product compliance advisor for the Compliance Department responsible for establishing internal strategies, policies, procedures, processes, and programs to comply with U.S. swaps and security-based swaps rules and regulation. 

Responsibilities:

• Advise and implement enhancements to the overall Jefferies U.S. Swap Dealer Compliance Program, including policies and procedures, training, issues management, governance and management reporting, metrics and assisting in the remediation of non-compliance matters.
• Work closely with internal stakeholders (business and corporate functions including Operations, Risk, Finance, etc.) on CFTC, NFA and SEC swap dealer issues. 
• Advise the business and corporate functions on regulatory requirements, developments and expectations across the swap dealer regimes including business conduct requirements, swap data reporting, business conduct, risk-based capital program, margin, etc.  
• Assist the Regulatory Affairs Team in responding to swap dealer-related regulatory inquiries, audits, examinations, and investigations, and liaising with regulators (SEC, CFTC & NFA) including driving associated remediations with relevant stakeholders.
• Assist in managing conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program
• Assist Compliance Testing in developing monitoring and testing to review and challenge controls and implementation of obligations with Compliance and business teams, and work with Audit on their ongoing reviews.
• Provide advice to the businesses on an ongoing basis on new function/business/product initiatives, new products, business acquisitions, and client-related matters with respect to swaps-related internal policies/procedures and rules/regulations.
• Assist with preparing presentations for the firm’s various swap dealer governance forums including the bi-weekly Compliance swap dealer meetings, board presentations, etc.
• Assist with preparing the annual CFTC Swap Dealer and SEC Security-Based Swap Dealer Chief Compliance Officer Reports.

Qualifications:  

• Highly motivated, strong attention to detail, team oriented, organized.
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
• Ability to assess complex issues through root cause analysis and other analytical techniques, structure potential solutions, and drive to resolution with senior stakeholders.
• Comfortable acting as an agent for positive change with agility and flexibility to take on new challenges.
• Ability to develop and manage relationships to foster safe business change aligned to regulatory expectations.
• Knowledge of swaps and security-based swaps products and markets.
• Knowledge of SEC Security-Based Swap Dealer or CFTC Swap Dealer laws and regulations.

Education/Experience:

• Bachelor's degree
• Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof.
• Experience and current knowledge of product/function products and services, including interpretation and application of all related laws, regulations, and directives. 
• 12+ years of experience 

Primary Location Full Time Salary Range of $215,000 - $275,000

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. 

About Us

Jefferies Financial Group Inc. (‘‘Jefferies,’’ ‘‘we,’’ ‘‘us’’ or ‘‘our’’) is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia.  

At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives. We have made a commitment to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients.

Jefferies is committed to creating and sustaining a diverse workforce and encourages applicants from all backgrounds to apply. This includes applicants from historically underrepresented groups, including women, racial and ethnic minorities, members of the LGBTQ+ community, military veterans, and individuals with disabilities or who are neurodiverse. 

Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodations to individuals with disabilities, as required by applicable law.