Branch Operations Manager (Hauppauge, NY)

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

The firm is seeking a Registered Branch Operations Manager to join our Branch office Private Client Division in Hauppauge, NY. The Operations Manager is an integral part of the branch office management team and will report to the Branch Manager.

Responsibilities:

• Oversee and perform the day to day branch operations, functions and responsibilities
• Approve operational related transactions (Check issuance and deposits, wire transfers, journal entries)
• Create procedures to ensure daily work, including approvals, are handled in a timely manner
• Order room (including order errors)
• Option approvals
• Margin inquiries
• Provide guidance on policies and procedures
• Assist with onboarding Financial Advisors
• Assist with AML review and compliance
• Interaction with legal and compliance regarding items that may require escalation
• Assist office staff, FAs and CSAs with Ad Hoc tasks

Requirements:

• Bachelor’s degree required
• 3 to 5 years industry experience required
• FINRA Registrations: SIE, Series 7 and 63/65 or 66

Qualifications:

• Interface and articulate well with all levels of employees and clients in a highly professional and friendly manner
• Ability to work collaboratively within the team, possess good writing and communication skills, exhibit good time management and relationship management skills
• Maintain the highest level of confidentiality and ethical standards
• Must be able to multi task and work in a fast paced and highly regulated environment
• Ability to think critically and demonstrate great analytical skills with high attention to detail and accuracy

Compensation:

For job postings in New York, 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 $50,000.00 - $60,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.