Job Description
Job Description
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 & Co. Inc.’s Compliance Department is currently seeking an Associate to join their Control Room in New York. The individual in this role will primarily focus on onboarding employee trading accounts, with an opportunity to gain exposure to a wider range of Compliance activities at the firm.
Responsibilities
- Maintaining the confidentiality of highly sensitive information
- Assisting in the implementation of the Firm’s Information Barriers
- Approving and monitoring employee and employee related trading accounts
- Educating employees on, and enforcing, the Firm’s employee trading policies
- Report any breaches of policy to your supervisor as required
- Chaperone communications between Investment Banking and Research personnel
- Assist in responding to internal audit and regulatory inquiries
- Actively suggest potential enhancements that would improve Control Room processes
- Manage multiple, deadline-oriented tasks in a fast-paced environment
Skills/Requirements
- Bachelor’s Degree preferred
- MBA, Juris Doctor, or Series 7 is a plus
- One to three years’ experience working at a financial service institution or relevant experience working for a regulator or SRO
- Strong analytical, problem solving, prioritization and organizational skills
- Must take initiative in learning and applying new skills and regulations
- Ability to identify and escalate issues where appropriate
- Excellent written, interpersonal and oral communication skills
- Possess a high degree of proficiency with technology including MS Excel, and can quickly learn internal software programs
- Must be a team player with an energetic, positive disposition seeking growth and opportunity to expand the role
- Must be able to maintain the highest level of confidentiality
- Able to interface and articulate well with all levels of employees, management and clients in a highly professional, timely and friendly manner
- Able to meet designated deadlines and work effectively in a pressurized environment
Compensation
For job postings in New York State, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the State 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 $65,000.00 - $85,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.