Central Compliance Officer (Associate Vice President / Vice President)

Company

Jefferies Group LLC, the largest independent, global, full-service investment banking firm headquartered in the U.S. focused on serving clients for 60 years, is a leader in providing insight, expertise and execution to investors, companies and governments. 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. Jefferies Group LLC is a wholly-owned subsidiary of Jefferies Financial Group Inc. (NYSE: JEF), a diversified financial services company. Jefferies GmbH is located in Frankfurt am Main (Germany) which is the hub for the EU-27 countries and holds branches in eight European countries.

About the job

As Central Compliance Officer, you will play a key role within Jefferies GmbH’s second line of defense and be part of an international team of compliance professionals.

Key responsibilities 

• Support the development, enhancement and ongoing maintenance of a robust Compliance framework aligned with Jefferies GmbH’s risk appetite, regulatory expectations and internal governance standards.
• Provide advice and constructive challenge to the business, senior management and control functions on Compliance risks, governance requirements and the effectiveness of related controls.
• Review and maintain Compliance policies, procedures and control documentation to ensure they remain compliant with applicable laws and regulations.
• Support the Compliance lifecycle, including risk identification, assessment, monitoring, controls testing, issue management, remediation tracking and reporting.
• Prepare and coordinate internal and external audits, regulatory inspections and related follow-up actions, including the preparation of responses and remediation plans.
• Assist in the preparation of management information and reporting for relevant committees and the Management Board.
• Assist in the coordination of the annual Compliance Risk Assessment, including engagement with internal stakeholders.
• Support the interactions with BaFin, Bundesbank and other relevant regulators.

What do we expect from you? 

• Minimum of 5 years’ Compliance experience, ideally within German investment banking or a comparable regulated financial services environment.
• Strong practical knowledge of the German and EU regulatory framework applicable to financial institutions, particularly MaRisk/WpI MaRisk and relevant BaFin guidance and expectations, with the ability to interpret regulatory requirements and translate them into practical policies, controls, monitoring activities and advice. 
• Experience in Compliance governance, Compliance framework implementation, Compliance lifecycle management and Compliance risk assessments.
• Experience in dealing with internal and external auditors, including coordination of audits (year-end audit and WpHG audit), preparation of audit evidence, management of audit requests, responding to findings and remediation tracking.
• Strong analytical skills, with the ability to assess complex regulatory requirements and governance structures.
• Excellent communication with internal and external stakeholders and influencing skills, with the ability to engage effectively with business, senior management, auditors, regulators and other control functions. 
• Sound judgement, personal integrity and professionalism, with the confidence to make, escalate and defend risk-based decisions in line with regulatory expectations and effective risk management standards.
• German and English language skills (minimum C1 or equivalent in both).

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Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services. With more than 40 offices around the world, we offer insights and expertise to investors, companies, and governments.

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 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.