Margin Operations Specialist — Reg T/4210 Focus

Oppenheimer-; New York (NY); Presencial; USD 60.000 - 80.000; Jornada completa

Descripción de la vacante

Oppenheimer & Co. Inc. in New York's Margin department seeks an experienced Operations specialist to join the team.

The role requires broker-dealer operations knowledge to monitor margins, risk, and client activity, and to collaborate with Operations, Risk, Compliance, Trading, and client-facing groups. The position involves independently researching complex margin situations, ensuring compliance with Regulation T and FINRA Rule 4210, and contributing to regulatory reporting and client service

Formación

• 2+ years of experience in Financial Services
• Strong understanding of FINRA Rule 4210 and Regulation T
• Knowledge of Pattern Day Trading requirements, concentrated positions, and other higher-risk account activities
• Familiarity with margin calls, house requirements, and account liquidations preferred
• Understanding of options trading and complex account activity
• Experience reviewing account activity and identifying potential margin and risk-related concerns
• Bachelor’s degree in finance, business, or a related field preferred
• High level of proficiency with Microsoft Office applications, including Word, Excel, PowerPoint, and Outlook
• Ability to work collaboratively in a fast-paced environment with strong time management, organizational, and relationship management skills
• Demonstrated sense of urgency, strong motivation, attention to detail, and a professional demeanor

Responsabilidades

• Ensure accounts are above the regulatory minimums (as stated within Regulation T and FINRA rule 4210) by using the EMS System and Finet
• Facilitate movements of securities and moneys in and out of the firm using the MJS System and Finet funds disbursement system
• Work with branches to resolve problems related to the firm’s retail client base
• Audit data via manual calculations
• Coach junior staff and contribute appropriate, relative knowledge and experiences to aid, assist and or support the day’s workload
• Support senior staff with workload as well as participate in two-way knowledge transfer
• Demonstrate first rate client service skills; elevate issues to supervisor, as appropriate
• Other functions and tasks as assigned

Conocimientos

FINRA Rule 4210 knowledge

Regulation T knowledge

Pattern Day Trading knowledge

Margin/account risk knowledge

Options trading understanding

Account activity review

Microsoft Office proficiency

Time management

Relationship management

Client service skills

Educación

Bachelor’s degree in finance, business, or related field

Herramientas

EMS System

Finet

MJS System

Descripción del empleo

Oppenheimer & Co. Inc. in New York's Margin department seeks an experienced Operations specialist to join the team.

The role requires broker-dealer operations knowledge to monitor margins, risk, and client activity, and to collaborate with Operations, Risk, Compliance, Trading, and client-facing groups. The position involves independently researching complex margin situations, ensuring compliance with Regulation T and FINRA Rule 4210, and contributing to regulatory reporting and client service