Senior Surveillance Analyst

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 CCMG Department main responsibilities include the oversight of the Equity Sales & Trading, Equity Capital Markets, Fixed Income and Municipal Securities Departments. Specifically this could include the reviewing of trades, reports used, Regulatory inquiries, updating policies and procedures to name a few functions. Job Functions : Perform various surveillance reviews of Capital Markets Trade Activity for specific functional areas within the Equity, Fixed Income and Syndicate Divisions to ensure the firm is conducting business in line with prevailing compliance requirements. Responsible to perform inquiries (internal and external), test new and/or existing surveillance systems to assess compliance with relevant internal policies, as well as external regulations which result in recommendations to CCMG's manager about revising or creating policies, system enhancements, etc. Review various Syndicate Trade Reports for compliance with IPO, PIPE, Follow-On or Fixed Income Offerings regulatory requirements (i.e. FINRA Rule 5130, SEC Regulation M Rule 101, 105, etc.). Responsible for maintaining an electronic file per each syndicate offering (IPO, Follow-On Offering, etc.) that contains relevant information about the syndicate deal, findings details, and various surveillance reports utilized to monitor for compliance with prevailing rules Perform various Penny Stocks surveillance reviews of Capital Markets Groups to ensure the Firm is conducting business in line with Firm's policy FICO Responsible for the audit of Private Placement deal files for compliance with section 5 of the Securities Exchange Act of 1933. Responsible for the review of Municipal Public Finance Negotiated and Competitive underwriting business deal files in adherence with firm's policies and procedures. 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 Assist CCMG Group's Manager in special projects Skills/Requirements: Proficient in Technology and Computer skills, Microsoft Office (specifically Word, Excel and Outlook) Good Organizational and Time Management skills Ability to multitask various projects in a timely manner and escalate Issues to Manager as appropriate 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 $80,000.00 - $90,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Created: 2024-11-19