Compliance Analyst, Asset Management Compliance

Oppenheimer & Co Inc; 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 involves testing and monitoring the firm’s compliance program, assisting with annual reviews, and filing regulatory submissions including SEC forms. The candidate will maintain regulatory documentation, track remediation efforts, and collaborate with business and control functions to address compliance risks across the organization.

Qualifications

• 3 to 5 years of compliance experience within a financial services organization
• Familiarity with 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

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

Organizational skills

Analytical skills

Written communication

Education

Bachelor's degree in Finance/Business/Economics/Accounting/Legal Studies

Tools

Microsoft Office

Excel

Word

PowerPoint

Job description

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

The role involves testing and monitoring the firm’s compliance program, assisting with annual reviews, and filing regulatory submissions including SEC forms. The candidate will maintain regulatory documentation, track remediation efforts, and collaborate with business and control functions to address compliance risks across the organization.