Corporate and Executive Services Associate

1 week ago


New York, New York, United States Oppenheimer & Co. Inc. Full time
Job Summary: We are seeking a highly skilled Corporate and Executive Services Associate to join our team at Oppenheimer & Co. Inc. The successful candidate 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.

Key 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
Requirements:
  • 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
Compensation: The current base salary offered for this role is $50,000.00 per year. Certain positions are eligible for additional forms of compensation such as discretionary bonus.

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