Oppenheimer & Co.
Compliance Surveillance Analyst
Oppenheimer & Co., New York, New York, us, 10261
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 requirementsMonitor customer trading activity for suitability via surveillance alerts and reportsReview Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the FirmDesign, develop and test new monitoring reportsRegularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practicesAnalyze problems and assisting with solving and good decision makingCollaborate with the other divisions within the Compliance Department on special projectsUnderstand and apply broker/dealer regulatory rulesRequirements:
Bachelor's degree required1-2 years of relevant work experienceStrong analysis, problem solving and decision making skillsCollege degree preferred; licenses a plus but not requiredExcellent communication skills and attention to detail are a mustAbility to follow directions and procedures accurately and thoroughlyIntermediate computer skills including Microsoft OfficeKey criteria to have:
Being able to determine if a trade is in line (or not in line) with the new account formIdentifying suitability issuesKYC 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 $55,000.00 - $75,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
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 requirementsMonitor customer trading activity for suitability via surveillance alerts and reportsReview Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the FirmDesign, develop and test new monitoring reportsRegularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practicesAnalyze problems and assisting with solving and good decision makingCollaborate with the other divisions within the Compliance Department on special projectsUnderstand and apply broker/dealer regulatory rulesRequirements:
Bachelor's degree required1-2 years of relevant work experienceStrong analysis, problem solving and decision making skillsCollege degree preferred; licenses a plus but not requiredExcellent communication skills and attention to detail are a mustAbility to follow directions and procedures accurately and thoroughlyIntermediate computer skills including Microsoft OfficeKey criteria to have:
Being able to determine if a trade is in line (or not in line) with the new account formIdentifying suitability issuesKYC 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 $55,000.00 - $75,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.