Jobs at Oppenheimer & Co. Inc.

Supports an asset management compliance program through regulatory testing, monitoring, annual compliance reviews, SEC filings, policy maintenance, remediation tracking, audit support, and regulatory recordkeeping. The role collaborates with business and control functions to identify and address compliance risks, supports regulatory examinations and special projects, and maintains compliance documentation. Candidates should have investment adviser or financial services compliance experience and knowledge of the Investment Advisers Act of 1940.

Manage the Midtown investment banking office, including reception, facilities coordination, conference rooms, supplies, equipment, access cards, calendars, travel, expenses, and administrative documents. Provide executive and team support, coordinate meetings and office projects, assist with recruiting logistics, track deadlines, and maintain a professional workplace environment.

Develop and grow relationships with Financial Advisors across the Northeast, driving adoption of asset management investment solutions and regional asset growth. Responsibilities include territory planning, consultative sales, portfolio reviews, advisor education, investment platform expertise, market insights, relationship management, and business development. The role requires approximately 25% to 50% travel throughout the region and is based in New York City.

Build and maintain relationships with Financial Advisors across the Midwest, providing investment product education, sales support, training, and business development assistance. Partner with Regional Directors and internal product teams to increase adoption of asset management solutions, support asset gathering, and drive territory growth. The role involves advisor meetings, branch visits, educational events, and approximately 25% or more regional travel.

Oversee daily brokerage operations across the Washington, D.C. region, including money movement, fund disbursements, order processing, account opening, supervisory controls, and client service resolutions. Lead and train operational staff, coordinate with firm infrastructure teams, and support financial professional onboarding. Ensure workflows comply with FINRA requirements while providing operational support to branch managers and maintaining accurate, timely service.

Support the senior semiconductor equity research analyst by building and maintaining financial models, producing company and industry research reports, organizing industry data, and communicating findings to sales, trading, and clients. Require strong modeling, writing, analytical, and client-facing skills.

Provide client servicing and administrative support for Private Client Division: answer client/advisor questions, prepare reports, manage scheduling and databases, assist marketing and events, prioritize projects, and maintain confidentiality while supporting advisors and management.

Review and approve marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure FINRA and SEC compliance; draft disclosures; submit materials to FINRA and manage correspondence; advise broker-dealer and investment advisers on marketing issues; assist with preparation and amendments of Form ADV filings.

Support a Senior Analyst covering electronic components, consumer hardware, and digital media. Conduct company and thematic research, build and maintain integrated 3-statement financial models, manage proprietary data sets and valuation comps, initiate independent research projects under tight deadlines, and communicate clear, evidence-based investment opinions in written reports and internal collaboration.