AVP, Compliance Officer - Registrations

Job DescriptionManage the registration function for Jefferies LLC a FINRA member Broker-Dealer and its various North American affiliates. Including providing support for various investment advisers, US CFTC Swap Dealer, and CIRO registered Canadian affiliate. Managing a team of two compliance analysts. Manage all employee licensing and registration activities for 2000+ employees for the Broker-Dealer. Ensuring team processes timely updates to various filings with FINRA including Form U4, Form BR, 8R individual applications with the NFA and employee disclosures among others. Filing firm applications with the various regulators such as Form BD, Form ADV, and Form 7R applications with the NFA. Implementing and managing the continuing education (FINRA regulatory element and IAR) programs. Monitoring registered persons progress and addressing issues with supervisory principals as necessary. Ability to manage and monitor registered persons reporting requirements for Quarterly Certifications such as Permissive Registrations Certifications and the Annual Compliance Questionnaire. Proficiency to address issues and report them to management as needed. Manage and improve the OBA process from initial input of the OBA to final approval. Work independently on one-off yearly projects such as the TN privilege tax renewal, Ontario Capital Markets Participation Fee payment and FINRA yearly renewal payments. Review and update registration policies and procedures annually and/or as required by new or updated regulations. Ability to respond to Internal Audits and FINRA requests in a timely manner and the ability to interact with regulators and firm employees in a professional manner.Skills and Qualifications: SIE, S7 licensed (S24 a plus). Bachelor's Degree required. Minimum of 5-7 years of direct experience in processing FINRA, NFA, SEC, and SRO firm and agent regulatory registrations. Solid understanding of SRO rules for securities and futures licensing and proficiency in FINRA Gateway and NFA ORS systems. Experience with Investment Advisor and Canadian registration. Ability to work effectively with other Compliance Officers, other business lines, and support functions. Strong proficiency in office programs, with particular emphasis on Excel.Primary Location Full Time Salary Range of $100,000 - $120,000The 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 UsJefferies 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. All employees must follow Jefferies' COVID-19 protocol policy, which is subject to change.