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Senior Capital Markets Surveillance Analyst
2 weeks ago
Oppenheimer & Co. Inc. 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 & Co. Inc. is seeking a Senior Capital Markets Surveillance Analyst who will be an integral part of the Compliance Capital Markets department, acting as a Surveillance Analyst and advisor to the Capital Markets business units. This individual will report to the manager of the Compliance Capital Markets Group.
Your Role and Responsibilities (not limited to):
- Perform various surveillance reviews of capital markets activity for specific functional areas within the Equity, Fixed Income, Public Finance and Syndicate Divisions to ensure the firm is conducting business in line with prevailing compliance requirements. Responsible for performing inquiries (internal and external), test new and/or existing surveillance systems to assess compliance with relevant internal policies, as well as external regulations
- Perform various Penny Stocks surveillance reviews of Capital Markets Groups to ensure the Firm is conducting business in line with Firm's policy
- Archive all regulatory inquiries received and responded by the Capital Markets Group in the compliance electronic shared drive
- Responsible for the audit of municipal public finance negotiated and competitive underwriting business deal files in adherence with firm's policies and procedures
- Review filled orders for the U.S. based retail branches to ensure the orders were properly marked Sell Short Exempt and which exemption is being relied upon
- Responsible for Electronic Blue Sheet Submission (as needed) and Quality Control Review Process of Electronic Blue Sheet Reports in order to verify that all data entered by users is accurate and consistent with the Regulatory Inquiry
- Provide guidance on policies and procedures to the capital markets business departments
- Perform e-mail reviews of the capital markets business departments
- Assist CCMG Group's manager in special projects
- Proficient in technology and computer skills, Microsoft Office (specifically Word and Excel)
- Good organizational and time management skills
- Ability to multitask various projects in a timely manner and escalate issues to manager as appropriate
- Bachelor's degree required
- Must have at least 5 + years industry experience
- FINRA registrations: Series 7 & 24 preferred
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 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 $85,000.00 - $100,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
