Job Objectives
As a member of the Compliance team at Jefferies Japan, this Compliance Officer position is expected to take responsibilities including (1) business advisory such as providing Compliance training and advice on the business activities, (2) trade surveillance on potential market abuse including market manipulation and insider trading, (3) research compliance including chaperoning of communication with IBD, research clearance, and (4) central compliance tasks such as regulatory filing, personal account dealing, supporting regulatory inspection preparation as well as other administrative tasks relating to Compliance operation at Jefferies Japan.
Key Responsibilities
- Provide compliance advisory to employees of Equity, Fixed Income, Research and Investment Banking division to foster Compliance culture in Jefferies Japan.
- Provide Compliance Training to front-office and support staff.
- Perform Trade Surveillance to monitor potential market abuse including market manipulation and insider trading, in accordance with Trade Surveillance regulations of Japan Securities Dealers Association.
- Review and approval of Error Processing.
- Research Compliance tasks such as chaperoning communication of Research employee with an employee of Investment Banking Division, clearance of Research, and providing general compliance advice.
- Central Compliance tasks such as employee license registration, PA dealing review.
- Regulatory filing including Large Shareholder Reporting, Short Position Reporting and Suspicious Transaction Reporting.
- Supporting regulatory inspection preparation.
Qualifications, Skills & Requirements
- Minimum 3 years of compliance experience in a securities company, with strong familiarity with the Japanese capital markets environment is preferred.
- JSDA Internal Administrator qualification is required.
- Knowledge of Japan’s securities laws, including FIEL and JSDA rules.
- Proficient in compliance systems and tools used for trade surveillance, personal account trading, and regulatory reporting is desirable.
Language
- Fluent in Japanese (native level)
- Fluency in written and spoken business-level English
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 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.
