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

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level