Oppenheimer & Co. Inc. · 1 day ago
Regional Compliance Officer (Southeast)
Boca Raton, FL
Part-time
Onsite
Mid, Senior Level
$95K/yr - $115K/yr
5+ years expOppenheimer & Co. Inc. is a leading middle-market investment bank and full service broker-dealer. They are seeking a Regional Compliance Officer to join their Compliance division, responsible for ensuring compliance with industry regulations and policies within the assigned region.
Financial Services
Responsibilities
Interpretation of Compliance policies
Assisting in addressing branch control issues, including account reviews
Assisting in investigating potential issues, inquiries, and resolutions
Conducting mini-audits and secondary reviews of surveillance reports
Educating newly on-boarded Branch Supervisors
Providing guidance on local seminars, advertising, and events
Assisting with the implementation (or termination) of Heightened Supervision Plans, as well assisting with the identification of those who may require Heightened Supervision
Acting as a resource to Branch Supervision during the pre-hire process
Liaising as an intermediary with Branch Supervision and all areas of the Compliance Department including Branch Examinations, Surveillance, Registration, AML, Regulatory, Control Room, and Asset Management Compliance
Performing Special Projects as necessary
Qualification
Required
FINRA Registration: Series 7 and 9/10 licenses
Five to seven years of proven and progressive broker-dealer experience and strong background in branch office compliance and/or supervision
Bachelor's degree in business, finance, accounting, or related field
Strong problem solving, lateral thinking, project management, and communication and interpersonal skills
Self-motivated and ability to work independently as well as in a flexible team-based environment
Benefits
Health, Dental, Vision, Mental Health & Wellness programs
401(K)
PTO benefits
Paid family medical leave
Disability benefits
Company
Oppenheimer & Co. Inc.
Oppenheimer is a global financial institution offering Wealth Management, Capital Markets, and Investment Banking solutions.
1001-5000 employees
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
Represents job field similar to this job
Trends of Total Sponsorships
2025 (4)
2024 (7)
2023 (6)
2022 (1)
2021 (6)
2020 (4)
Funding
Current Stage
Public CompanyTotal Funding
unknown1986-09-05IPO
Leadership Team
Craig Schneider
Managing Director - Regional Director
Douglas Siegel
Managing Director, Chief Compliance Officer
Recent News
2026-01-08
2026-01-07
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