About Us

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.

Core Competencies:

- Strategic Thinking: Ability to develop and execute strategic compliance initiatives aligned with business goals.
- Leadership and Influence: Strong leadership skills to inspire and motivate the compliance team and influence stakeholders.
- Compliance Expertise: Deep understanding of regulatory compliance requirements and best practices in the stock broking industry.
- Ethical Conduct: Commitment to upholding ethical standards and fostering a culture of integrity and compliance.
- Adaptability and Resilience: Ability to adapt to changing regulatory environments and navigate complex compliance challenges.

Key Responsibilities:

- Provide compliance leadership and guidance to business and support functions, fostering a strong culture of ethical conduct, regulatory compliance, and accountability.
- Oversee accurate and timely regulatory reporting and submissions to SEBI, stock exchanges, depositories, and other applicable regulatory authorities, including daily, weekly, monthly, and event-based requirements.
- Lead and coordinate internal and external audits, regulatory inspections, and reviews conducted by SEBI,



stock exchanges, depositories, and other relevant authorities.
- Review and draft responses to regulatory observations, inspection findings, and queries, ensuring submissions are accurate, comprehensive, and completed within prescribed timelines.
- Monitor regulatory developments and assess their impact on the stock broking and investment banking businesses, including SEBI and exchange requirements.
- Implement regulatory changes through appropriate enhancements to internal compliance policies, procedures, controls, and monitoring frameworks.
- Oversee compliance with applicable KYC, AML/CFT, sanctions, client onboarding, and related internal policies and regulatory requirements.
- Support investment banking compliance matters, including transaction-related compliance, conflict-of-interest assessments and clearances, information barriers, wall-crossing, and handling of confidential and unpublished price sensitive information.
- Provide compliance advice and guidance to business and support functions on day-to-day regulatory matters and new business initiatives.
- Develop and deliver compliance training to employees on applicable regulations, internal policies, regulatory developments, and expected standards of conduct.
- Identify emerging compliance and regulatory risks and proactively implement appropriate controls, monitoring, escalation, and remediation measures.
- Maintain appropriate compliance documentation and regulatory records to support governance, audit, inspection, and management oversight requirements.

Qualifications / Experience:





- Educational Qualifications: Can be either CA or CS or LLB or post graduate in finance.
- Minimum of 5-7 years of progressive experience in compliance within the stock broking industry/merchant banking and market practices.
- Solid knowledge of SEBI regulations and exchange guidelines.
- Excellent analytical, problem-solving, and decision-making skills.
- Exceptional communication, negotiation, and interpersonal skills.
- Detail-oriented, highly organized, and able to manage multiple matters simultaneously
- Ability to operate independently while also functioning effectively as part of a cooperative team

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.

We have been made aware of bad actors falsely claiming to be associated with Jefferies Group soliciting individuals to attend virtual job interviews, complete online tests or courses and sending fictitious employment offer letters.

Please note that any email contact with Jefferies personnel will come from an “@jefferies.com” email address. Further, Jefferies will not notify shortlisted candidates through social media platforms (e.g. WhatsApp or Telegram) or ask candidates to make payment to participate in the hiring process.

📌 AVP - Compliance (Maharashtra)
🏢 Jefferies
📍 Maharashtra