Branch Examiner - Chicago, United States - Oppenheimer & Co. Inc.

Oppenheimer & Co. Inc.

Verified Company

Chicago, United States

3 weeks ago

Posted by:

Mark Lane

beBee recruiter

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.

Responsibilities:

Execute Branch Examination Program to Private Client Group branch offices across the U.S
Travel to branch offices to review office records, completed questionnaires, and branch operating procedures to ascertain compliance with Firm's policies and procedures, SRO Rules, and regulations
Conduct oneonone meetings and interviews with branch management and personnel
Organize and conduct the Firm's Annual Compliance Meetings
Must follow a set of modules from the Branch Examination Program
Communicate exam findings to Branch management, exam managers and compliance leadership
Complete ad hoc reviews and projects requires in a timely manner

Requirements:

Individual will be required to travel at least 40% of the time to domestic branch offices

Qualifications:

Two to three years of experience in Branch Examination, Compliance or Financial Services
Knowledge of rules and regulations of SEC, FINRA and state securities regulatory agencies
FINRA Series 7, preferred
Effective communication skills and attention to detail
Ability to follow directions and procedures accurately and thoroughly
Possess a high degree of proficiency with technology including MS Office products (Word, Excel, PowerPoint and Outlook)
Demonstrate strong accuracy and thoroughness in all facets of daily work and possess superb organizational skills
Able to interface and articulate well with all levels of employees, management and clients in a highly professional, timely and friendly manner

Compensation:

For job postings in the states of California and New York, 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 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, $90,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.