Compliance Associate, Control Room Position Available In New York, New York

Compliance Associate, Control Room

Location:

New York, NY Type of Hire:

Experienced Hires Division:

Compliance 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 & Co. Inc.’s Compliance Department is currently seeking an Associate to join their Control Room in New York. The individual in this role will primarily focus on onboarding employee trading accounts, with an opportunity to gain exposure to a wider range of Compliance activities at the firm. Responsibilities Maintaining the confidentiality of highly sensitive information
Assisting in the implementation of the Firm’s Information Barriers
Approving and monitoring employee and employee related trading accounts
Educating employees on, and enforcing, the Firm’s employee trading policies
Report any breaches of policy to your supervisor as required
Chaperone communications between Investment Banking and Research personnel
Assist in responding to internal audit and regulatory inquiries
Actively suggest potential enhancements that would improve Control Room processes
Manage multiple, deadline-oriented tasks in a fast-paced environment Skills/Requirements Bachelor’s Degree preferred
MBA, Juris Doctor, or Series 7 is a plus
One to three years’ experience working at a financial service institution or relevant experience working for a regulator or SRO
Strong analytical, problem solving, prioritization and organizational skills
Must take initiative in learning and applying new skills and regulations
Ability to identify and escalate issues where appropriate
Excellent written, interpersonal and oral communication skills
Possess a high degree of proficiency with technology including MS Excel, and can quickly learn internal software programs
Must be a team player with an energetic, positive disposition seeking growth and opportunity to expand the role
Must be able to maintain the highest level of confidentiality
Able to interface and articulate well with all levels of employees, management and clients in a highly professional, timely and friendly manner
Able to meet designated deadlines and work effectively in a pressurized environment Compensation For job postings in New York State, 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 $65,000.00 – $85,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.