Compliance Risk Analyst
4 days ago
About the Role:
Oppenheimer & Co. Inc. is a leading middle-market investment bank and full service broker-dealer. We are seeking a Compliance Risk Analyst to support the daily functions of our Compliance department.
Responsibilities:
- Analyze current business processes and systems to identify areas for improvement
- Monitor customer trading activity for suitability via surveillance alerts and reports
- Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following our policies and procedures
- Design, develop and test new monitoring reports
- Collaborate with other divisions within the Compliance Department on special projects
Requirements:
- 1-2 years of relevant work 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
- Ability to follow directions and procedures accurately and thoroughly
Key Criteria:
- Ability to determine if a trade is in line with our new account form
- Identifying suitability issues
- KYC suitability reviews
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 $55,000.00 - $70,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
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