Surveillance Analyst

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 Compliance department is seeking an Analyst that will support the daily functions of the Surveillance department. The role is based in New York.

Responsibilities:

• Analyze current business processes and systems, define needs and document business change requirements
• Monitor customer trading activity for suitability via surveillance alerts and reports
• Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm
• Design, develop and test new monitoring reports
• Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices
• Analyze problems and assisting with solving and good decision making
• Collaborate with the other divisions within the Compliance Department on special projects
• Understand and apply broker/dealer regulatory rules

Requirements:

• 1-2 years in Broker-Dealer compliance experience, capital markets compliance or regulatory experience
• Strong analysis, problem solving and decision making skills
• College degree preferred; licenses a plus but not required
• Excellent communication skills and attention to detail are a must
• Ability to follow directions and procedures accurately and thoroughly
• Intermediate computer skills including Microsoft Office

Key criteria to have:

• Being able to determine if a trade is in line (or not in line) with the new account form
• Identifying suitability issues
• KYC 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 $60,000.00 - $75,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.