Oppenheimer & Co. Inc.
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Who We Are Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
Job Description Oppenheimer's is seeking a Surveillance Analyst that will support the daily functions of the Compliance department. The role is based in New York.
Responsibilities
Analyze current business processes and systems, define needs and document business change requirements
Monitor customer trading activity for suitability via surveillance alerts and reports
Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm
Design, develop and test new monitoring reports
Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices
Analyze problems and assisting with solving and good decision making
Collaborate with the other divisions within the Compliance Department on special projects
Understand and apply broker/dealer regulatory rules
Testing of 3130 Annual Certification of Compliance and Supervisory Processes
Requirements
Bachelor’s degree required; licenses a plus but not required
1-2 years of relevant work experience
Strong analysis, problem solving and decision making skills
Excellent communication skills and attention to detail are a must
Ability to follow directions and procedures accurately and thoroughly
Intermediate computer skills including Microsoft Office
Key Criteria To Have
Being able to determine if a trade is in line (or not in line) with the new account form
Identifying suitability issues
KYC suitability reviews
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. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $60,000.00 - $80,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
Seniority level
Entry level
Employment type
Full-time
Job function
Finance and Sales
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Who We Are Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
Job Description Oppenheimer's is seeking a Surveillance Analyst that will support the daily functions of the Compliance department. The role is based in New York.
Responsibilities
Analyze current business processes and systems, define needs and document business change requirements
Monitor customer trading activity for suitability via surveillance alerts and reports
Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm
Design, develop and test new monitoring reports
Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices
Analyze problems and assisting with solving and good decision making
Collaborate with the other divisions within the Compliance Department on special projects
Understand and apply broker/dealer regulatory rules
Testing of 3130 Annual Certification of Compliance and Supervisory Processes
Requirements
Bachelor’s degree required; licenses a plus but not required
1-2 years of relevant work experience
Strong analysis, problem solving and decision making skills
Excellent communication skills and attention to detail are a must
Ability to follow directions and procedures accurately and thoroughly
Intermediate computer skills including Microsoft Office
Key Criteria To Have
Being able to determine if a trade is in line (or not in line) with the new account form
Identifying suitability issues
KYC suitability reviews
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. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $60,000.00 - $80,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
Seniority level
Entry level
Employment type
Full-time
Job function
Finance and Sales
Referrals increase your chances of interviewing at Oppenheimer & Co. Inc. by 2x
Sign in to set job alerts for “Surveillance Analyst” roles. #J-18808-Ljbffr