Who We Are:
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.
Job Description:
Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance Department in New York. The position will be part of a team that supports the Oppenheimer Asset Management business, which includes a dually registered broker-dealer and an investment adviser with several affiliated advisers. The ideal candidate must be able to work in a fast-paced environment, work independently, and demonstrate strong relationship management skills.
Responsibilities:
- Review marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered broker-dealer and investment adviser
- Draft appropriate disclosures for marketing and advertising materials
- Submit required marketing materials to FINRA and coordinate correspondence
- Advise broker-dealer and investment advisers on marketing and advertising issues
- Assist in the preparation and filing of the annual Form ADV brochures, and amendments thereto for several registered investment advisers
Qualifications:
- 2+ years of working experience with Advisers Act and FINRA regulations
- Understanding of wealth management and investment advisory products, including “wrap fee” separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.
- Ability to interpret legal and business terms and grasp concepts quickly
- Strong attention to detail, critical-thinking, and analytical skills
- Must be an ambitious, dedicated, and results-oriented individual that is an independent thinker and takes ownership of his/her work and enjoys collaborating within a team environment
- Proficient computer skills and knowledge of web browsers and web searching skills
- Strong written and verbal communication and presentation skills
Compensation:
For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $90,000.00 - $125,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
Skills Required
- 2+ years of working experience with Advisers Act and FINRA regulations
- Understanding of wealth management and investment advisory products
- Strong attention to detail, critical-thinking, and analytical skills
- Proficient computer skills and knowledge of web browsers
- Strong written and verbal communication and presentation skills
Oppenheimer & Co. Inc. Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Oppenheimer & Co. Inc. and has not been reviewed or approved by Oppenheimer & Co. Inc..
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Leave & Time Off Breadth — Leave and time off offerings appear broad, with PTO, paid sick days, paid holidays, bereavement leave, and military leave available. This breadth indicates structured time-away support across multiple needs.
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Parental & Family Support — Parental and family support includes family medical leave and generous parental leave, with dependent care options also listed. These offerings suggest formal support for caregiving and family needs.
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Inclusive Benefits Coverage — Benefits span healthcare (medical, dental, vision, mental health), HSAs/FSAs, retirement and insurance options, plus an EAP, commuter benefits, legal assistance, and various discounts. The breadth points to a comprehensive baseline of programs across categories.
Oppenheimer & Co. Inc. Insights
What We Do
Oppenheimer & Co. Inc. is a leading national investment boutique with over a century of tradition. Oppenheimer’s culture of providing innovative, customized solutions to our clients sets us apart from our competitors. Oppenheimer is proud of its reputation as a Firm that helps individuals, families, corporate executives, foundations and endowments, charities, pension plans businesses, and institutions. We occupy a unique position in the industry, thanks to the dedication, expertise, and creativity of our people. Oppenheimer Financial Advisors draw on the extensive resources and expertise of nearly 1,900 other professionals, including those in Equity Research, Capital Markets, and Investment Banking. Oppenheimer Asset Management Inc., Oppenheimer Life Agency Ltd., Oppenheimer Trust Company of Delaware and Oppenheimer & Co. Inc. are wholly owned subsidiaries of Oppenheimer Holdings Inc., an integrated financial holding company. Oppenheimer is a registered broker-dealer and investment advisory firm. Securities are offered through Oppenheimer.
