Italy Job Openings
Jefferies & Company, Inc.
Compliance Officer
FULL TIME
August 4, 2024
Team
Compliance Milan
Role
The Compliance Officer is responsible for general compliance topics of the Milan Branch (including the Rome sub-office) and assists on general compliance topics for the Frankfurt headquarter.
Key Responsibilities
The key responsibilities are:
- Providing advice to front office personnel (equities and fixed income, research, investment banking) of the Milan Branch.
- Building and maintaining strong working relationships with Business Management, Front Office desks, Operations, etc. and with colleagues within the Compliance Department.
- Providing compliance support and advice covering cross border regulatory issues.
- Keeping abreast of legal, regulatory and best practice changes impacting the Milan Branch.
- Working collaboratively with colleagues in the Jefferies Gmb H Compliance Department on the implementation of new and ongoing regulatory changes, including the creation and updating of local compliance and anti-financial crime policies and training on new regulation.
- Assisting in maintenance of regulatory and exchange relationships, including dealing with exchange queries, investigations and audits, as well as formal regulatory enquiries from national regulators such as CONSOB and the Bank of Italy.
- Providing training to front office personnel on general regulatory matters such as codes of market conduct, sales/trading market practices as well as on other ad hoc regulatory matters.
- Responding to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of, and/or carrying out investigative procedures.
- Ensuring that all regulatory reports of the Milan Branch are duly compiled and filed with the regulators.
- Assisting the Central Compliance Team and the Anti-Financial Crime Compliance Team of Jefferies Gmb H. Ad hoc compliance tasks and projects that will arise from time to time.
Person Specification
The following skills and experience are required for this role:
- The candidate should have general compliance experience and additional experience in either sales & trading or investment banking compliance.
- The candidate should have strong working knowledge of financial products (fixed income cash and derivative products and equities products).
- The candidate should have strong interpersonal and communication skills.
- The candidate should have strong time management and organisational skills and the ability to meet deadlines and work under pressure. Very good English language skills are required.
This role will suit an ambitious, career-minded individual who wants to work in a dynamic environment.
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