Branch Examiner - Location Flexible (see description)
OppenheimerWho 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.
Job Description
Oppenheimer & Co. Inc. is seeking a Branch Examiner to join our Compliance team who will report to the Branch Examiner Manager. The Branch Examiner is responsible for conducting onsite branch examinations of Private Client Group branch offices throughout the U.S. The ideal candidates must be within commuting distance to any of the following branch offices: Boston, MA, Fort Lauderdale or Tampa, FL, Dallas, TX, Los Angeles or San Francisco, CA, Kansas City, MO, Chicago, IL, or New York City, NY.
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 one-on-one meetings and interviews with branch management and personnel
- 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 $65,000.00 - $83,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.