Branch Operations Supervisor
2 weeks ago
Oppenheimer & Co. Inc. is a prominent middle-market investment banking firm and comprehensive broker-dealer. With a legacy dating back to 1881, the firm is involved in a wide array of activities within the financial services sector, encompassing retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity and fixed income research, market making, trust services, as well as investment advisory and asset management solutions.
Position Summary:
The Private Client Division at Oppenheimer & Co. Inc. is in search of a Registered Operations Supervisor for their branch office. The Operations Supervisor plays a crucial role within the branch management team and will report directly to the Branch Manager.
Key Responsibilities:
1. Manage and execute the daily operations and functions of the branch.
2. Authorize operational transactions including check issuance, deposits, wire transfers, and journal entries.
3. Develop and implement procedures to ensure timely handling of daily tasks and approvals.
4. Oversee option approvals and margin inquiries.
5. Provide expert guidance on operational policies and procedures.
6. Support the onboarding process for Financial Advisors.
7. Assist with Anti-Money Laundering (AML) reviews and compliance measures.
8. Collaborate with legal and compliance teams on matters requiring escalation.
9. Aid office staff and Client Service Associates (CSAs) with various ad hoc tasks.
Qualifications:
- A minimum of 3 to 5 years of relevant industry experience is required.
- Possession of Series 7 and 63 licenses is mandatory.
Desired Skills:
- Ability to communicate effectively and professionally with all levels of employees and clients.
- Strong collaborative skills and the ability to work within a team environment.
- Excellent writing and communication abilities, alongside effective time and relationship management skills.
- Commitment to maintaining confidentiality and ethical standards.
- Proficiency in multitasking and thriving in a fast-paced, highly regulated setting.
- Strong critical thinking and analytical skills with meticulous attention to detail.
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