Marketing Compliance Specialist — Asset Management

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

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.