Senior Capital Markets Surveillance Analyst

About the role

Oppenheimer & Co. Inc. is seeking a Senior Capital Markets Surveillance Analyst to join the Compliance Capital Markets department. The role acts as a Surveillance Analyst and advisor to the Capital Markets business units.

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.
• Archive all regulatory inquiries received and responded by the Capital Markets Group in the compliance electronic shared drive.
• 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.
• Afford assistance to CCMG Group’s manager in special projects.

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.
• Bachelor’s degree required.
• At least 5 + years industry experience.
• FINRA registrations: Series 7 & 24 preferred.