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
The firm is seeking a Registered Regional Operations Manager to join Private Client Division in our Dallas (Southwest) Region. This position will report directly to the National Branch Operations Administrator with secondary reporting to the Branch Managers in Dallas, TX, Scottsdale, AZ and Nashville, TN. The candidate will be responsible for the day-to-day supervision and workflow of all operations functions which include, but are not limited to the following
Responsibilities:
- All money movement, fund disbursement and/or fund receipt activity, in accordance with FINRA rules
- All order processing, including cancelations, corrections and other critical order-related workflow, including client service inquiries and resolutions
- Account opening
- Supervisory engagement with local resources (i.e. Branch Control Officer) to fulfill supervisory requirements
- Train and lead operational support staff
- Acts as liaison between the Branch and all Firm infrastructure areas
- Support Financial Professional onboarding
- Provides any special support as requested by Branch Manager
Qualifications:
- At least 5+ years of brokerage/financial services experience along with management experience
- FINRA Registrations: Series 7, 63/65 or 66 and 8 or 9 & 10 required.
- Strong attention to detail and accuracy
- Ability to navigate multiple computer systems, applications, and utilize search tools to find information
- Excellent verbal, written, and interpersonal communication skills
- Effective organizational, multi-tasking, and prioritizing skills
- Able to work independently, proactively and innovatively while exercising sound judgment
- Intelligent, enthusiastic self-starter with proven ability to work closely with Financial Advisors and other team members
- High ethical standards
- Excellent time management conflict resolution skills
- Strong working knowledge of Microsoft Office Suite
Top Skills
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.
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