Compliance Surveillance Analyst

Oppenheimer & Co.New York, NY
6d$60,000 - $80,000

About The Position

Oppenheimer's is seeking a Surveillance Analyst that will support the daily functions of the Compliance department. The role is based in New York.

Requirements

  • 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
  • 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

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
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