Corporate and Executive Services Associate - Winston-Salem, NC
2 days ago
Job description
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:
The Corporate and Executive Services Associate will be responsible for performing various tasks related to Corporate and Executive Services, including transaction reviews, conducting research, maintaining spreadsheets, analyzing documentation, and updating marketing materials. This role requires strong attention to detail, knowledge of U.S. Securities and Exchange Commission (SEC) regulations, and the ability to work collaboratively with legal counsel, financial advisors and clients. This position will report to the Head of Corporate and Executive Services Department.
Responsibilities:
- Review and approve 144 transactions
- Conduct research on companies in public filings on SEC Edgar
- Calculate volume limitations for 144 transactions
- Communicate with legal counsel, financial advisors, and clients to verify acquisitions, confirm legend status, and determine if a sale can take place
- Maintain spreadsheets for 10b5-1 trading plans and 10b-18 buyback agreements
- Analyze client documentation to identify any discrepancies
- Learn to utilize research and technical support tools
- Exhibit initiative to increase knowledge of SEC rules and regulations
- Revise, update, and manage marketing materials for the sales team
- Promote a client service attitude by providing timely and accurate responses to questions and concerns, while maintaining integrity and respect in all situations
Qualifications:
- Previous experience working in the Compliance or Legal department of a broker-dealer or bank
- Knowledge of Rule 144, 10b5-1, and 10b-18 is a plus
- Strong accuracy and thoroughness in all facets of daily work
- Excellent interpersonal skills and the ability to articulate well with legal/compliance/financial advisors and clients in a highly professional and friendly manner
- Must be a team player with an energetic and positive disposition
- Proficiency with MS Office products, including Word, Excel, and Outlook
- Ability to maintain the highest level of confidentiality
- Ability to meet designated deadlines and work effectively in a pressurized environment
- Ability to handle multiple tasks and prioritize assignments
Requirements:
- Bachelor's degree preferred
- Must be willing to obtain Series 7 and 63 certifications within 90 days of hire
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