- 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
- 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
- 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
-
Surveillance Analyst
1 week ago
North Bridge Staffing Group New York, United StatesPosition Title: E-Communications Surveillance Analyst · Division: Legal & Compliance · About the Role: · The Legal & Compliance Department at our client's firm is dedicated to upholding ethical standards, safeguarding the company's reputation, and fostering a compliance-driven cu ...
-
Surveillance Analyst
1 week ago
North Bridge Staffing New York, United StatesPosition Title: E-Communications Surveillance Analyst · Division: Legal & Compliance · About the Role: · The Legal & Compliance Department at our client's firm is dedicated to upholding ethical standards, safeguarding the company's reputation, and fostering a compliance-driven ...
-
Surveillance Analyst
1 week ago
Calculated Hire New York, United StatesTrade Surveillance Analyst · Hybrid - New York, NY · 3-month Contract (W2), Weekly Pay (40 hours/week) · Desired Start Date: 5/13/2024 · Calculated Hire is in search of a Business Execution Consultant IV for our Fortune 100 Financial Services company. You will be responsible for ...
-
Surveillance Analyst
1 week ago
Oppenheimer & Co. New York, United StatesWho 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 ...
-
Analyst - Surveillance
2 weeks ago
Bally's Corporation Atlantic City, United StatesConduct detailed analysis and video review of table games. · Prepare detailed reports reporting deviations from theoretical win/loss for the Bally's AC Finance Department. · Prepare player analysis reports detailing the probability of advantage play, cheating techniques and vul ...
-
Analyst - Surveillance
1 day ago
Bally's Atlantic City Atlantic City, United States Full timeConduct detailed analysis and video review of table games. · Prepare detailed reports reporting deviations from theoretical win/loss for the Bally's AC Finance Department. · Prepare player analysis reports detailing the probability of advantage play, cheating techniques and vulne ...
-
Trade Surveillance Analyst
1 week ago
Bank of America New York, United States OTHERJob Description: · At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. ...
-
Trade Surveillance Analyst
2 days ago
TEKsystems New York, United States Contract to RegularKey Responsibilities: · Work the broader teams such as reporting and Global technology to capture necessary data and automate periodic reports for various surveillance monitoring program and utilize various tools and statistical analysis to make the surveillance program more effe ...
-
Trade Surveillance Compliance Analyst
5 days ago
East End Resources New York, United StatesCOMPLIANCE ANALYST · New York, NY · Our client, a NYC-based trading firm is looking for a Compliance Analyst. · The team is charged with establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obli ...
-
North Bridge Staffing Group New York, United StatesE-Communications Compliance Surveillance Analyst · Legal & Compliance Team · My client's Legal & Compliance Department safeguards the company's integrity, ensuring ethical conduct and fostering a compliance-focused culture. · This Analyst role involves joining our electronic surv ...
-
Lime Trading New York, United StatesCompliance Analyst- EComms Surveillance/Registrations Manager · Conduct eComms surveillance for the Firm. Update Firm lexicon. Manage case management and escalation processes. · Maintain CRD and NFA account to cover registration fees, fingerprint card fees, exam fees, etc. · Trac ...
-
Lime Trading New York, United StatesCompliance Analyst- EComms Surveillance/Registrations Manager · Conduct eComms surveillance for the Firm. Update Firm lexicon. Manage case management and escalation processes. · Maintain CRD and NFA account to cover registration fees, fingerprint card fees, exam fees, etc. · T ...
-
Detective Investigator
5 days ago
New York State Office of the Attorney General New York, United States**Detective Investigator · - Major Investigations Unit - New York City** · in the Major Investigations Unit (NYC), within the Investigations Division investigating various types of · on behalf of the people of the State of New York. · Under the direct supervision of the Detective ...
-
The Fund for Public Health in New York City New York, United StatesThe Fund for Public Health in New York City (FPHNYC) is a 501(c)3 non-profit organization that is dedicated to the advancement of the health and well-being of all New Yorkers. To this end, in partnership with the New York City Department of Health and Mental Hygiene (DOHMH), FPHN ...
-
Detective Investigator
1 week ago
New York State Office of the Attorney General New York, United States**Attorney General of the State of New York** · **Division of Investigations · **EMPLOYMENT ANNOUNCEMENT · **DETECTIVE INVESTIGATOR: OFFICE OF SPECIAL INVESTIGATIONS ("OSI") - New York City** · service on behalf of the people of the State of New York. · In June 2020, the New York ...
-
Corporate Credit Analyst
3 days ago
Rockefeller Capital Management New York, United StatesAbout Rockefeller Capital Management: · Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultr ...
-
Analyst
3 days ago
New York County District Attorney's Office New York, United StatesDivision/Unit: Hate Crimes Unit · CS Title: Community Associate · Position Title: Analyst · Salary Range: $51,984 - $51,984 · The New York County District Attorney's Office (DANY) has an opening for an Analyst 3 for its Hate Crimes Unit in the Trial Division. In this position the ...
-
Agent
6 days ago
Crisis24 New York, United StatesAbout Crisis24 · Crisis24, a GardaWorld company, is widely regarded as the leading integrated risk management, crisis response, consulting, and global protective solutions firm, serving the world's most influential people, disruptive brands, and prominent organizations. Champione ...
-
Private Placements Associate
2 days ago
Guardian Life Insurance Company New York, United StatesThe Private Placements Associate provides support to the Private Placement team through various quantitative and qualitative analyses, as well as document preparation and evaluation for both new transaction opportunities and portfolio monitoring, principally for the corporate inv ...
-
Intelligence Analyst
1 week ago
NYC Careers Brooklyn, United States**Intelligence Analyst**: · - Apply**Intelligence Analyst**: · - Agency: DISTRICT ATTORNEY KINGS COUNTY · - Posted on: 05/08/2024- Job type: Full-time · Location · BROOKLYN · - Title Classification: No exam required · Department · Digital Evidence Lab · - Salary range: $60, $60, ...
Surveillance Analyst - New York, 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:
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:
Requirements:
Key criteria to have:
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, $75,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
#LI-KG1
