- Primary responsibility is for all risk, supervisory and compliance for multiple local branches
- Handle any and all supervisory inquiries that require escalation
- Oversee business ethics and regulatory practices
- Provide guidance on policies and procedures to employees
- Create procedures to ensure approvals are handled timely
- Review all correspondence (incoming/outgoing)
- Assist and support AML, compliance, and operations by working to resolve any issues
- Handle all complaints and work with the Legal department to respond
- Key contact for internal and external branch audits
- Active involvement in training on policy and operational changes
- Approve some cashiering related transactions (KYC, sign checks, option approval, third party, check deposits
- Review and approval of new client accounts.
- Trading Errors
- 5-7 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 FAs and other team members
- Must have compliance and operation experience along with personnel management experience
- Must be able to maintain the highest level of confidentiality and ethical standards
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Branch Control Officer - Newport Beach, United States - Oppenheimer & Co. Inc.
Description
Job Description
Job DescriptionWho 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:
The Branch Control Officer (BCO) is an integral part of the Branch Office management team. The BCO reports to the Risk Officer in our Private Client Division New York Headquarters, with a dotted line to the Branch Office Manager (BOM). The Branch Control Officer would have ability to work in our Newport Beach, CA office.
Your Role and Responsibilities:
Risk, Supervision and Compliance:
Legal:
Operations:
Requirements:
Compensation:
For job postings in California, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to California 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, $125,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
