Branch Examiner

Oppenheimer & Co. Inc. (NYSE: OPY) is a diversified financial services firm, offering a wide range of investment banking, securities, investment management and wealth management capabilities from over 90 offices in major financial centers in the Unites States and with Investment Banking and Trading Desks in London, Hong Kong and Tel Aviv.

Oppenheimer & Co. Inc. is seeking a Branch Examiner to join our Compliance team in the New York office.

Responsibilities:

• Review of Branch office records
• Reviewing completed questionnaires and Branch operating procedures to ascertain compliance with the firm's polices and procedures
• Conduct one-on-one meetings/interview with Branch office management and personnel
• Organize and conduct the Firm's Annual Compliance Meetings
• Must follow a set of modules from the Branch Examination Program

Requirements:

• 1 to 4 years in Branch Examination
• Broker-Dealer compliance or regulatory experience preferred
• Individual required to travel at least 60% of the time, domestically
• 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

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 $60,000.00 - $75,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.