Compliance Analyst

Oppenheimer & Co; New York (NY); On-site; USD 75,000 - 85,000; Full time

Job summary

Oppenheimer & Co. Inc. is seeking a Compliance Analyst to join the Compliance team supporting Oppenheimer Asset Management in New York.

The role focuses on testing and monitoring the firm’s compliance program, regulatory filings, policy maintenance, and annual reviews. You will work with business and control functions, assist with SEC submissions, and help address compliance risks. A background in investment advisory regulation and strong written communication are essential; 3–5 years of

Qualifications

• 3 to 5 years of compliance experience within an investment adviser, asset manager, broker-dealer, or financial services organization.
• Familiarity with the Investment Advisers Act of 1940 and related regulatory requirements.
• Experience conducting compliance reviews, testing, monitoring, or control assessments.
• Strong organizational, analytical, and written communication skills.
• Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
• Experience supporting SEC regulatory filings, including Form ADV updates, preferred.

Responsibilities

• Perform compliance testing and monitoring of the firm's written supervisory procedures and compliance program under Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Assist with the planning, execution, documentation, and reporting of annual compliance reviews.
• Participate in the preparation, review, and filing of regulatory submissions, including SEC filings and updates.
• Track, coordinate, and maintain updates to the Compliance Manual, policies, procedures, and related documentation.
• Monitor remediation efforts and track the resolution of compliance findings and action items.
• Assist with regulatory examinations, internal audits, and compliance-related inquiries.
• Maintain records and documentation in accordance with regulatory requirements.
• Work closely and collaboratively with business and control functions across Oppenheimer Asset Management to identify and address compliance risks.
• Support special projects and strategic compliance initiatives as needed.

Skills

Compliance testing

Regulatory knowledge

Analytical skills

Written communication

Project ownership

MS Office

Education

Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or related field

Tools

Excel

Word

PowerPoint

Job description

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

Oppenheimer & Co. Inc. is seeking a Compliance Analyst to join the Compliance team supporting Oppenheimer Asset Management (“OAM”) in New York. Oppenheimer & Co. Inc. is seeking a Compliance Analyst to join the Compliance team supporting Oppenheimer Asset Management ("OAM") in New York. This role supports the firm's compliance program through compliance testing and monitoring, regulatory filings, policy and procedure maintenance, and annual compliance reviews.

Responsibilities

• Perform compliance testing and monitoring of the firm's written supervisory procedures and compliance program under Rule 206(4)-7 of the Investment Advisers Act of 1940
• Assist with the planning, execution, documentation, and reporting of annual compliance reviews
• Participate in the preparation, review, and filing of regulatory submissions, including SEC filings and updates
• Track, coordinate, and maintain updates to the Compliance Manual, policies, procedures, and related documentation
• Monitor remediation efforts and track the resolution of compliance findings and action items
• Assist with regulatory examinations, internal audits, and compliance-related inquiries
• Maintain records and documentation in accordance with regulatory requirements
• Work closely and collaboratively with business and control functions across Oppenheimer Asset Management to identify and address compliance risks
• Support special projects and strategic compliance initiatives as needed

Qualifications

• 3 to 5 years of compliance experience within an investment adviser, asset manager, broker-dealer, or financial services organization
• Familiarity with the Investment Advisers Act of 1940 and related regulatory requirements
• Experience conducting compliance reviews, testing, monitoring, or control assessments
• Strong organizational, analytical, and written communication skills
• Ability to manage multiple priorities and meet deadlines in a fast-paced environment
• Demonstrated ability to take ownership of assignments and drive projects to completion with minimal supervision
• Strong interpersonal skills and ability to work effectively both independently and as part of a team
• Proficiency with Microsoft Office applications, particularly Excel, Word, and PowerPoint
• Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or a related field
• Experience supporting SEC regulatory filings, including Form ADV updates, preferred
• Experience within a dual registrant environment preferred
• Knowledge of asset management products and advisory operations preferred
• Industry certifications such as IACCP or CRCM preferred
• FINRA Registrations a plus

Compensation

For job postings in New York State, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the State of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $75,000.00 - $85,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.