Branch Risk & Compliance Lead | Miami

Oppenheimer-; Coral Gables (FL); On-site; USD 100,000 - 140,000; Full time

Job summary

Oppenheimer & Co. Inc. is seeking a Branch Control Officer for the Coral Gables, FL office. You will lead risk, supervision and compliance, overseeing branch operations and ensuring regulatory adherence in a dynamic private client environment.

The role requires significant experience, FINRA licensing, and the ability to collaborate with financial advisors and internal teams while maintaining strict confidentiality and high ethical standards.

Qualifications

• 5+ years of industry experience.
• FINRA Series 7, 63/65 (or 66), 9, 10 (or 8) licenses required.
• Must maintain confidentiality and high ethical standards.
• Bilingual English/Spanish preferred.

Responsibilities

• Oversee risk, supervision and compliance for the Branch Office.
• Handle supervisory inquiries and escalate as needed.
• Provide guidance on policies and procedures to employees.
• Review and approve new client accounts and ensure timely processing.
• Support AML, compliance, and operations in resolving issues.

Skills

5+ years experience

Bilingual EN/ES

Job description

Oppenheimer & Co. Inc. is seeking a Branch Control Officer for the Coral Gables, FL office. You will lead risk, supervision and compliance, overseeing branch operations and ensuring regulatory adherence in a dynamic private client environment.

The role requires significant experience, FINRA licensing, and the ability to collaborate with financial advisors and internal teams while maintaining strict confidentiality and high ethical standards.