Senior Capital Markets Surveillance Analyst

Oppenheimer & Co•New York, NY

52d•$85,000 - $100,000

About The Position

Oppenheimer & Co. Inc. is seeking a Senior Capital Markets Surveillance Analyst who will be an integral part of the Compliance Capital Markets department, acting as a Surveillance Analyst and advisor to the Capital Markets business units. This individual will report to the manager of the Compliance Capital Markets Group.

Requirements

Proficient in technology and computer skills, Microsoft Office (specifically Word and Excel)
Good organizational and time management skills
Ability to multitask various projects in a timely manner and escalate issues to manager as appropriate
Bachelors degree required
Must have at least 5 + years industry experience
FINRA registrations: Series 7 & 24 preferred

Responsibilities

Perform various surveillance reviews of capital markets activity for specific functional areas within the Equity, Fixed Income, Public Finance and Syndicate Divisions to ensure the firm is conducting business in line with prevailing compliance requirements.
Responsible for performing inquiries (internal and external), test new and/or existing surveillance systems to assess compliance with relevant internal policies, as well as external regulations
Perform various Penny Stocks surveillance reviews of Capital Markets Groups to ensure the Firm is conducting business in line with Firms policy
Archive all regulatory inquiries received and responded by the Capital Markets Group in the compliance electronic shared drive
Responsible for the audit of municipal public finance negotiated and competitive underwriting business deal files in adherence with firms policies and procedures
Review filled orders for the U.S. based retail branches to ensure the orders were properly marked Sell Short Exempt and which exemption is being relied upon
Responsible for Electronic Blue Sheet Submission (as needed) and Quality Control Review Process of Electronic Blue Sheet Reports in order to verify that all data entered by users is accurate and consistent with the Regulatory Inquiry
Provide guidance on policies and procedures to the capital markets business departments
Perform e-mail reviews of the capital markets business departments
Assist CCMG Groups manager in special projects