Branch Administrative Manager (Seattle, WA)

Who We Are:

Oppenheimer & Co. Inc. is a diversified financial services firm, offering a wide array of investment banking, securities, investment management and wealth management capabilities from over 90 offices. Oppenheimer provides a comprehensive array of financial services with an emphasis on providing premier financial advice and guidance.

Job Description:

This role is critical to the branch running smoothly and efficiently in meeting compliance standards and reports directly to the Branch Manager.

Roles and Responsibilities:

Risk, Supervision and Compliance:

• Work with Branch Control Officers (BCO) to monitor risk, supervision and compliance for the branch
• Assist with inquiries that require escalation
• Coordinates with Branch Management to ensure proper approval coverage is maintained
• Create procedures to ensure approvals are handled timely
• Review correspondence (incoming/outgoing)
• Assist and support Anti-Money Laundering (AML), compliance, and operations by working to resolve issues
• Support recruit and client onboarding
• Resolves client service issues
• Provides any special support for sales force as requested by BOM
• Trains, oversees (assists in managing or supervising) operational support staff
• Acts as a liaison between the branch and all firm infrastructure areas
• Approve KYC's

Legal:

• Liaise with BCO and Legal on client complaints
• Active involvement in training on policy and operational changes

Operations:

• Assist with new client account approvals, updates and various asset movement approvals

Requirements:

• Minimum 5 years industry experience
• Series 7, 63/65 (or 66), 9, 10 (or 8) licenses required
• Intelligent, enthusiastic self-starter with proven ability to work closely with Financial Advisors and other team members
• Must have compliance and operation experience
• Delivers a distinctive and thoughtful experience aimed at providing appropriate advice for each situation
• Excellent time management skills and the ability to anticipate potential issues
• Possess a high degree of proficiency with MS Office products including Word, Excel and Outlook
• Must be able to maintain the highest level of confidentiality and ethical standards

Compensation:

For job postings in Washington, 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 Washington 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. The current base salary offered for this role is $70,000.00 per year. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Oppenheimer & Co. Inc. offers a comprehensive benefits package for eligible employees which may include Health, Dental, Vision, Mental Health & Wellness programs, 401(K), and PTO benefits. Oppenheimer & Co. Inc. offers paid family medical leave and disability benefits to eligible employees where required by applicable law.

The compensation range and benefits for this position are based on a full-time schedule for a full calendar year. The salary will vary depending on your job-related skills, experience and location. Pay increment and frequency of pay will be in accordance with employment classification and applicable laws. For part time roles, your compensation and benefits will be adjusted to reflect your hours. Benefits may be pro-rated for those who start working during the calendar year.

Oppenheimer & Co. Inc. will not be providing visa sponsorship for this position now or in the future. Therefore, in order to be considered for this position, you must have the ability to work without a need for current or future visa sponsorship.