Asset Management Attorney

Oppenheimer Holdings; New York (NY); On-site; USD 100,000 - 135,000; Full time

Job summary

Oppenheimer & Co. Inc. is seeking an Asset Management Attorney for their Legal Department in New York. The ideal candidate will have a JD degree, be a member of the New York State Bar, and possess strong analytical and communication skills. Responsibilities include ensuring compliance with legal standards for marketing materials and advising on regulatory issues related to wealth management.

Qualifications

• 3+ years of working experience with Advisers Act and FINRA regulations.
• Current member of the New York State Bar.
• Understanding of wealth management and advisory products.

Responsibilities

• Review marketing and advertising materials for compliance with FINRA and SEC rules.
• Draft disclosures for marketing materials and advise on related issues.
• Maintain annual FINRA registrations and Gifts and Entertainment log.

Skills

Attention to detail

Critical thinking

Analytical skills

Written communication

Verbal communication

Presentation skills

Education

Juris Doctor (JD) degree from accredited law school

Job description

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 an Asset Management Attorney to join our Legal Department in New York. 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 to ensure compliance with the applicable FINRA and SEC marketing rules
• 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
• Ownership of required filings, electronic or otherwise, with regulators including, periodic 13G, 13F and 13H filings with SEC and exemption filing with the NFA
• Assist in the preparation and filing of the annual ADV, and amendments, for regulated entities
• Utilize web-based systems to review various options reports and escalate issues as necessary
• Review termination report to compare it against the ADV DRP pages to amend the DRP if necessary
• Assist with responding to employee lobbying requests
• Assist with responding to general inquiries regarding the MSRB and SEC "Pay-to-Play" rules
• Maintain annual FINRA registrations for applicable registered entities
• Maintain the Gifts and Entertainment log

Qualifications :

• Juris Doctor (JD) degree from accredited law school
• A current member of the New York State Bar and in good standing
• 3+ years of working experience with Advisers Act and FINRA regulations
• Understanding of wealth management and advisory products
• 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
• 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 $100,000.00 - $135,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

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