Marketing Compliance Officer

Oppenheimer & Co Inc; New York (NY); On-site; USD 90,000 - 125,000; Full time

Benefits offered by this job

Discretionary bonus

Job summary

Oppenheimer & Co. Inc. in New York seeks a Compliance Professional to join the Compliance Department. You will support the Asset Management business and ensure materials and disclosures meet FINRA and SEC requirements.

The role demands fast-paced independence, strong relationship management, and meticulous attention to detail to draft disclosures, coordinate filings, and advise on marketing and advertising issues, including Form ADV amendments for multiple advisers.

Qualifications

• 2+ years of working experience with Advisers Act and FINRA regulations.
• Understanding of wealth management and investment advisory products and the regulatory landscape.
• Ability to interpret legal and business terms and grasp concepts quickly.
• Strong attention to detail, critical-thinking, and analytical skills.
• Independent thinker who takes ownership and collaborates within a team.
• Strong written and verbal communication and presentation skills.

Responsibilities

• Review marketing and advertising materials for funds and advisory programs to ensure compliance with FINRA and SEC rules.
• Draft appropriate disclosures for marketing and advertising materials.
• Submit required marketing materials to FINRA and coordinate correspondence.
• Advise broker-dealer and investment advisers on marketing and advertising issues.
• Assist in the preparation and filing of Form ADV brochures and amendments for several advisers.

Skills

Advisers Act compliance

FINRA regulations

Wealth management knowledge

Regulatory interpretation

Attention to detail

Independent thinker

Strong communication

Job description

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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 Professional to join our Compliance Department in New York. The position will be part of a team that supports the Oppenheimer Asset Management business, which includes a dually registered broker-dealer and an investment adviser with several affiliated advisers. The ideal candidate must be able to work in a fast-paced environment, work independently, and demonstrate strong relationship management skills.

Responsibilities:

• Review marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered broker-dealer and investment adviser
• Draft appropriate disclosures for marketing and advertising materials
• Submit required marketing materials to FINRA and coordinate correspondence
• Advise broker-dealer and investment advisers on marketing and advertising issues
• Assist in the preparation and filing of the annual Form ADV brochures, and amendments thereto for several registered investment advisers

Qualifications:

• 2+ years of working experience with Advisers Act and FINRA regulations
• Understanding of wealth management and investment advisory products, including “wrap fee” separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.
• Ability to interpret legal and business terms and grasp concepts quickly
• Strong attention to detail, critical-thinking, and analytical skills
• Must be an ambitious, dedicated, and results-oriented individual that is an independent thinker and takes ownership of his/her work and enjoys collaborating within a team environment
• Strong written and verbal communication and presentation skills

Compensation:

For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $90,000.00 - $125,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.