Branch Ops Specialist: Onboarding & Compliance Lead

Oppenheimer & Co. Inc.; St. Louis (MO); On-site; USD 65,000 - 85,000; Full time

Job summary

Oppenheimer & Co. Inc. is seeking a Branch Operations Specialist for its St. Louis branch. The role focuses on supporting day-to-day operations, client onboarding, and ensuring timely processing of documentation to the home office.

The ideal candidate will have brokerage operations experience, strong attention to detail, and excellent communication skills, with the ability to work independently or under the Branch Manager's guidance.

Qualifications

• FINRA Series 99 registration within 6 months of hire.
• Experience in brokerage operations.
• Strong attention to detail and accuracy.
• Proficient in Microsoft Office.
• Able to navigate multiple computer systems and search tools.
• Excellent verbal, written, and interpersonal communication.
• Strong organizational, multi-tasking, and prioritizing abilities.

Responsibilities

• Assist in maintaining day-to-day operations to ensure operational excellence.
• Support client onboarding process.
• Maintain and process documents.
• Assist with audit preparations.
• Communicate effectively with home-office personnel.
• Interact with branch staff and management at all levels.
• Handle routine/sensitive matters.
• Ensure documents are sent to home office promptly.
• Cross-train within other operations roles.
• Willing to take on additional tasks.

Skills

Brokerage operations

Multitasking

Organizational skills

Attention to detail

Interpersonal communication

System navigation

Microsoft Office

Education

FINRA Series 99

Job description

Oppenheimer & Co. Inc. is seeking a Branch Operations Specialist for its St. Louis branch. The role focuses on supporting day-to-day operations, client onboarding, and ensuring timely processing of documentation to the home office.

The ideal candidate will have brokerage operations experience, strong attention to detail, and excellent communication skills, with the ability to work independently or under the Branch Manager's guidance.