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Company

Original Job Post

Oppenheimer & Co. Inc. · 6 days ago

Surveillance Analyst

New York, NY

Full-time

Onsite

Entry Level

$60K/yr - $75K/yr

1+ years exp

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Financial Services

H1B Sponsorship

Insider Connection @Oppenheimer & Co. Inc.

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Responsibilities

Analyze current business processes and systems, define needs and document business change requirements

Monitor customer trading activity for suitability via surveillance alerts and reports

Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm

Design, develop and test new monitoring reports

Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices

Analyze problems and assisting with solving and good decision making

Collaborate with the other divisions within the Compliance Department on special projects

Understand and apply broker/dealer regulatory rules

Qualification

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Broker-Dealer ComplianceCapital Markets ComplianceRegulatory ExperienceCollege DegreeLicensesFollowing Procedures Computer SkillsMicrosoft OfficeProblem SolvingDecision MakingCommunicationAttention to Detail

Required

1-2 years in Broker-Dealer compliance experience, capital markets compliance or regulatory 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 are a must

Ability to follow directions and procedures accurately and thoroughly

Intermediate computer skills including Microsoft Office

Company

Oppenheimer & Co. Inc.

Oppenheimer & Co. Inc. is a leading national investment boutique with over a century of tradition.

Founded in 1881

New York, New York, USA

1,001-5,000 employees

https://oppenheimer.com

H1B Sponsorship

Oppenheimer & Co. Inc. has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Trends of Total Sponsorships

2023 (5)

2022 (1)

2021 (7)

2020 (4)