Compliance Analyst

About the role

Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.

This role supports the firm's compliance program through compliance testing and monitoring, regulatory filings, policy and procedure maintenance, and annual compliance reviews.

Responsibilities

• Perform compliance testing and monitoring of the firm's written supervisory procedures and compliance program under Rule 206(4)-7 of the Investment Advisers Act of 1940
• Assist with the planning, execution, documentation, and reporting of annual compliance reviews
• Participate in the preparation, review, and filing of regulatory submissions, including SEC filings and updates
• Track, coordinate, and maintain updates to the Compliance Manual, policies, procedures, and related documentation
• Monitor remediation efforts and track the resolution of compliance findings and action items
• Assist with regulatory examinations, internal audits, and compliance-related inquiries
• Maintain records and documentation in accordance with regulatory requirements
• Work closely and collaboratively with business and control functions across Oppenheimer Asset Management to identify and address compliance risks
• Support special projects and strategic compliance initiatives as needed

Qualifications

• 3 to 5 years of compliance experience within an investment adviser, asset manager, broker-dealer, or financial services organization
• Familiarity with the Investment Advisers Act of 1940 and related regulatory requirements
• Experience conducting compliance reviews, testing, monitoring, or control assessments
• Strong organizational, analytical, and written communication skills
• Ability to manage multiple priorities and meet deadlines in a fast-paced environment
• Demonstrated ability to take ownership of assignments and drive projects to completion with minimal supervision
• Strong interpersonal skills and ability to work effectively both independently and as part of a team
• Proficiency with Microsoft Office applications, particularly Excel, Word, and PowerPoint
• Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or a related field
• Experience supporting SEC regulatory filings, including Form ADV updates, preferred
• Experience within a dual registrant environment preferred
• Knowledge of asset management products and advisory operations preferred
• Industry certifications such as IACCP or CRCM preferred
• FINRA Registrations a plus

Pay

A reasonable estimate of the current base salary range is $75,000.00 – $85,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.