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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