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    Central Compliance/Conduct Advisor Officer - London, United Kingdom - Jefferies

    Jefferies
    Jefferies London, United Kingdom

    Found in: One Red Cent EUR eFC C2 - 1 hour ago

    Default job background
    Full time
    Description

    Key Responsibilities & Tasks

    Responsibilities will include, but not be limited to:


    • Support and implement the annual Compliance Plan, identifying areas requiring additional monitoring and testing.


    • Provide guidance on ethical and conduct related matters, working closely with business units to foster a culture of integrity and compliance.


    • Providing compliance advice to the business or corporate functions as requested.


    • Lead or support internal investigations in potential misconduct, maintaining objectivity and confidentiality throughout the process.


    • Oversight of the Senior Management and Certification Regime Framework.


    • Oversight of the Firm's Conflict Management Governance Framework.


    • Supporting the Firm's Conduct Risk Framework.


    • Working with other departments within the firm to enhance monitoring and supervisory policies and procedures.


    • Organising and providing Compliance training.


    • Supporting the development of a strong and consistent compliance culture across all areas of the business in London.


    • Assisting in ad hoc compliance projects.

    Direct experience in these areas is not a requirement, but willingness to learn is essential.

    The candidate must:


    • Think analytically and provide advice based on sound judgment


    • Work effectively in a team environment and foster effective relationships


    • Be able to react in a fast-paced environment, managing a wide variety of requests


    • Be able to work positively and make decisions under time pressure


    • Be able to interpret and apply FCA, FINRA and other regulatory rules


    • Have strong time management and organizational skills and ability to meet deadlines and work under pressure.

    Qualifications/ Experience


    • The candidate should be graduate calibre and have good technical as well as interpersonal and communication skills.


    • The candidate should have around 3 to 5 years compliance, risk, audit or project management experience, but the firm is open to anyone with relevant experience looking to take the next step in their career.

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