Oppenheimer & Co. Inc.
Senior Capital Markets Surveillance Analyst
Oppenheimer & Co. Inc., New York, New York, us, 10261
Senior Capital Markets Surveillance Analyst
Oppenheimer & Co. Inc. invites applications for the
Senior Capital Markets Surveillance Analyst
position.
About Oppenheimer & Co. Inc.
Oppenheimer is a leading middle‑market investment bank and full‑service broker‑dealer. With roots tracing back to 1881, the firm engages in a broad range of financial services activities, including retail securities brokerage, institutional sales and trading, investment banking (corporate and public finance), equity & fixed income, research, market‑making, trust services, investment advisory, and asset management.
Job Description The Senior Capital Markets Surveillance Analyst will be an integral part of the Compliance Capital Markets department, acting as a Surveillance Analyst and advisor to the Capital Markets business units. This role reports to the manager of the Compliance Capital Markets Group.
Your Role And Responsibilities (not Limited To)
Perform various surveillance reviews of capital markets activity for specific functional areas within the Equity, Fixed Income, Public Finance and Syndicate Divisions to ensure the firm is conducting business in line with prevailing compliance requirements. Responsible for performing inquiries (internal and external), testing new and/or existing surveillance systems to assess compliance with relevant internal policies and external regulations.
Perform various Penny Stock surveillance reviews of Capital Markets Groups to ensure the firm is conducting business in line with Firm’s policy.
Archive all regulatory inquiries received and responded to by the Capital Markets Group in the compliance electronic shared drive.
Conduct the audit of municipal public finance negotiated and competitive underwriting business deal files in adherence to firm’s policies and procedures.
Review filled orders for the U.S. based retail branches to ensure the orders were properly marked Sell Short Exempt and that the exemption relied upon is correct.
Responsible for Electronic Blue Sheet submission (as needed) and quality control review of Electronic Blue Sheet reports to verify that all data entered by users is accurate and consistent with the regulatory inquiry.
Provide guidance on policies and procedures to the capital markets business departments.
Perform email reviews of the capital markets business departments.
Assist CCMG Group’s manager with special projects.
Skills/Requirements
Proficient in technology and computer skills, Microsoft Office (specifically Word and Excel).
Good organizational and time‑management skills.
Ability to multitask various projects in a timely manner and escalates issues to manager as appropriate.
Bachelor’s degree required.
At least 5+ years of industry experience.
FINRA registrations: Series 7 and Series 24 preferred.
Compensation For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. The current base salary estimate is $85,000.00 – $100,000.00. Certain positions are eligible for additional forms of compensation such as discretionary bonus.
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Finance and Sales
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Senior Capital Markets Surveillance Analyst
position.
About Oppenheimer & Co. Inc.
Oppenheimer is a leading middle‑market investment bank and full‑service broker‑dealer. With roots tracing back to 1881, the firm engages in a broad range of financial services activities, including retail securities brokerage, institutional sales and trading, investment banking (corporate and public finance), equity & fixed income, research, market‑making, trust services, investment advisory, and asset management.
Job Description The Senior Capital Markets Surveillance Analyst will be an integral part of the Compliance Capital Markets department, acting as a Surveillance Analyst and advisor to the Capital Markets business units. This role reports to the manager of the Compliance Capital Markets Group.
Your Role And Responsibilities (not Limited To)
Perform various surveillance reviews of capital markets activity for specific functional areas within the Equity, Fixed Income, Public Finance and Syndicate Divisions to ensure the firm is conducting business in line with prevailing compliance requirements. Responsible for performing inquiries (internal and external), testing new and/or existing surveillance systems to assess compliance with relevant internal policies and external regulations.
Perform various Penny Stock surveillance reviews of Capital Markets Groups to ensure the firm is conducting business in line with Firm’s policy.
Archive all regulatory inquiries received and responded to by the Capital Markets Group in the compliance electronic shared drive.
Conduct the audit of municipal public finance negotiated and competitive underwriting business deal files in adherence to firm’s policies and procedures.
Review filled orders for the U.S. based retail branches to ensure the orders were properly marked Sell Short Exempt and that the exemption relied upon is correct.
Responsible for Electronic Blue Sheet submission (as needed) and quality control review of Electronic Blue Sheet reports to verify that all data entered by users is accurate and consistent with the regulatory inquiry.
Provide guidance on policies and procedures to the capital markets business departments.
Perform email reviews of the capital markets business departments.
Assist CCMG Group’s manager with special projects.
Skills/Requirements
Proficient in technology and computer skills, Microsoft Office (specifically Word and Excel).
Good organizational and time‑management skills.
Ability to multitask various projects in a timely manner and escalates issues to manager as appropriate.
Bachelor’s degree required.
At least 5+ years of industry experience.
FINRA registrations: Series 7 and Series 24 preferred.
Compensation For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. The current base salary estimate is $85,000.00 – $100,000.00. Certain positions are eligible for additional forms of compensation such as discretionary bonus.
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Finance and Sales
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