Job Description

Oppenheimer & Co. (NYSE: OPY) is a diversified financial services firm, offering a wide range of investment banking, securities, investment management and wealth management capabilities from 92 offices in major financial centers in the United States and with Investment Banking and Trading Desks in London, Hong Kong and Tel Aviv. Oppenheimer employs over 3,200 people.

RESPONSIBILITIES:

• Monitors for adherence with Trading and Sales regulatory rules

• Ensures Financial Advisors, Branch Management and Branch Personnel are following policies and procedures of the Firm

• Regular/constant communication with business and support groups

• Designs, develops and tests monitoring reports

• Understands and applies broker/dealer regulatory rules

• Performs general clerical duties to include but not limited to: photocopying, scanning, mail distribution and filing

• Creates and modifies various documents using Microsoft Office

REQUIREMENTS:

• Minimum 5 years in Broker-Dealer compliance experience, capital markets compliance or regulatory experience

• Strong analysis, problem solving and decision making skills

• College degree; 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

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