Supervisory Analyst – Equities Sales and Trading, Vice President

Supervisory Analyst – Equities Sales and Trading Supervisor

Position Overview

Jefferies is seeking an experienced Supervisory Analyst to support the Equities Sales and Trading Division, with a primary focus on the review, supervision, and distribution of market commentary and other client-facing communications produced by Equity Sales and Trading personnel.

The individual will be responsible for reviewing equity market commentary, industry notes, research recaps, earnings commentary, conference notes, and other sales-generated communications to help ensure content is accurate, professionally presented, consistent with applicable regulatory requirements and Firm policies.

In addition to these core responsibilities, the individual will support broader Equity Sales supervisory functions, including the development and administration of supervisory controls relating to client onboarding, sales practices, and global and cross-border client coverage. This will include assisting in the assessment of client connectivity across jurisdictions and Jefferies entities, including considerations arising under SEC Rule 15a-6 and other applicable cross-border requirements.

Responsibilities

Market Commentary and Client Communications

• Serve as a primary supervisory reviewer of equity market commentary and other client-facing content produced by Equity Sales and Trading personnel, including industry notes, research recaps, earnings commentary, conference notes, market updates, and other sales-generated communications.
• Review communications for compliance with applicable FINRA and SEC requirements, Firm policies, supervisory standards, and required disclosures and disclaimers.
• Review market commentary for potential conflicts of interest, inappropriate or misleading statements, disclosure concerns, or reputational risks.
• Work directly with authors to address required changes and ensure commentary is appropriately presented prior to distribution.
• Maintain and enhance publishing standards, supervisory procedures, quality controls, and recordkeeping requirements
• Enhance and maintain a supervisory framework governing AI-generated and AI-assisted market commentary.

Equity Sales Supervision and Client Onboarding

• Support broader Equity Sales supervisory activities and assist in developing and maintaining a risk-based supervisory framework for the Sales business.
• Assist in establishing and administering an oversight program for client account onboarding, including supervisory review of proposed client relationships, sales coverage, products and services, and relevant regulatory considerations.
• Assess global and cross-border client connectivity, including proposed interactions among clients, sales personnel, and Jefferies entities across different jurisdictions, and coordinate with Compliance, Legal, Client Onboarding, Operations, and business management to address relevant regulatory and supervisory requirements.
• Support the supervisory framework relating to SEC Rule 15a-6 and other applicable cross-border requirements.
• Assist in developing controls designed to identify circumstances in which changes to client coverage, jurisdiction, legal entity, products, services, or sales activity may require additional supervisory review or escalation.

Supervisory Program Development

• Develop and maintain supervisory procedures, review standards, control documentation, exception reporting, and management information relating to market commentary and applicable Equity Sales activities.
• Assist in evaluating the effectiveness of existing supervisory controls and recommend enhancements based on regulatory developments, business changes, identified risks, and supervisory experience.
• Assist with supervisory reviews, Compliance testing, internal audits, regulatory examinations, and other reviews involving Equity Sales activities.
• Support the development of training and guidance for Equity Sales personnel concerning market commentary, client communications, sales practices, client onboarding, cross-border activities, and related supervisory requirements.
• Assist with process improvements and departmental initiatives designed to enhance the efficiency, consistency, and effectiveness of the supervisory program.

Qualifications

• Bachelor’s degree required.
• 7–10 years of relevant experience in Broker-Dealer supervision, Equity Sales supervision, Compliance, research publishing, client communications, or a related securities-industry function.
• FINRA Series 16 or Series 24 required, or ability to obtain within the established timeframe.
• Demonstrated experience supporting the supervisory review of market commentary, research-related content, sales communications, or other client-facing materials within a Broker-Dealer environment strongly preferred.
• Strong understanding of regulatory and supervisory requirements applicable to Broker-Dealer communications and institutional Equity Sales activities.
• Familiarity with client onboarding, sales-practice supervision, and cross-border regulatory requirements, including SEC Rule 15a-6, preferred.
• Experience developing, documenting, or administering supervisory procedures, controls, and review frameworks within a regulated financial-services environment.
• Strong organizational skills and the ability to manage multiple reviews, deadlines, and priorities in a time-sensitive Sales and Trading environment.
• Strong written and verbal communication skills, including the ability to clearly and effectively communicate required changes to authors, sales personnel, supervisors, and other stakeholders.
• Ability to work collaboratively across Sales, Trading, Compliance, Legal, Operations, Client Onboarding, and Technology.

New York, NY Full Time Base Salary Range of $165,000-200,000.

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