Compliance Analyst, Asset Management — Regulatory Focus

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 in New York. You will support the Asset Management compliance program through testing, monitoring, regulatory filings, and policy maintenance.

The role requires 3–5 years of experience in compliance within financial services, familiarity with the Investment Advisers Act, strong organizational and written communication skills, and the ability to manage multiple priorities in a fast-paced environment.

Qualifications

• Experience conducting compliance reviews, testing, monitoring, or control assessments.
• Familiarity with the Investment Advisers Act of 1940 and related regulatory requirements.
• Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
• Strong written communication skills.
• 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 filings

Policy maintenance

Annual reviews

Analytical skills

Written communication

Time management

Attention to detail

Excel

Team collaboration

Education

Bachelor's degree in Finance

Tools

Excel

Word

PowerPoint

Job description

Oppenheimer & Co. Inc. is seeking a Compliance Analyst to join the Compliance team in New York. You will support the Asset Management compliance program through testing, monitoring, regulatory filings, and policy maintenance.

The role requires 3–5 years of experience in compliance within financial services, familiarity with the Investment Advisers Act, strong organizational and written communication skills, and the ability to manage multiple priorities in a fast-paced environment.