Senior Compliance Professional

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 is seeking a Senior Compliance Professional (SCP) who will be an integral part of the Global Compliance Department, acting as an advisor to retail branch management. The SCP reports to the Chief Compliance Officer of our Private Client Division at our New York Headquarters.

Your Role and Responsibilities (not limited to):

Risk, Supervision and Compliance:

• Evaluate transactional trends and patterns for potential escalation
• Handle inquiries from the retail branch system
• Oversee business ethics and regulatory practices
• Provide guidance on policies and procedures to retail employees
• Review, create and implement written supervisory procedures
• Collaborate with AML, Legal, Compliance and Operations Senior Management to create cross department efficiencies
• Actively identify risk and remediate issues
• Design and deliver applicable training for the business unit
• Manage team members

Qualifications/Requirements:

• Must have at least 5 plus years industry experience
• Bachelor’s Degree
• FINRA Registrations: Series 7, 63/65 (or 66), 9,10 (or 8) licenses required
• Experience with Protegent Surveillance a plus
• Intelligent, enthusiastic self-starter with proven ability to multi-task
• Compliance and management experience, preferably in retail
• Must be able to maintain the highest level of confidentiality and ethical standards
• Strong analytical skills, well organized with the ability to communicate effectively with business professionals

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 $90,000.00 - $135,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.