Oppenheimer & Co. Inc. · 1 day ago
Compliance Surveillance Analyst
New York, NY
Full-time
Onsite
Entry Level
$60K/yr - $80K/yr
1+ years expOppenheimer & Co. Inc. is a leading middle-market investment bank and full service broker-dealer, seeking a Surveillance Analyst to support the daily functions of the Compliance department. The role involves monitoring trading activity, ensuring adherence to policies, and collaborating with various divisions within the Compliance Department.
Financial Services
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
Testing of 3130 Annual Certification of Compliance and Supervisory Processes
Qualification
Required
Bachelor's degree required; licenses a plus but not required
1-2 years of relevant work experience
Strong analysis, problem solving and decision making skills
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
Preferred
Being able to determine if a trade is in line (or not in line) with the new account form
Identifying suitability issues
KYC suitability reviews
Benefits
Discretionary bonus
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
Company data provided by crunchbase