Regional Compliance Officer (Southeast Region)

Oppenheimer & Co. Inc.; United States; On-site; USD 95,000 - 115,000; Full time

Benefits offered by this job

Health, Dental, and Vision Insurance

401(K)

PTO Benefits

Paid Family Medical Leave

Job summary

A leading investment bank is seeking a Regional Compliance Officer for the Southeast Region to ensure compliance with regulations across branches. This role involves interpreting compliance policies, conducting mini-audits, and supporting Branch Management. Candidates should have 5-7 years of broker-dealer experience, hold a Bachelor’s degree, and possess FINRA Series 7 and 9/10 licenses. A comprehensive benefits package and a competitive salary of $95,000 to $115,000 per year are offered, along with additional bonuses.

Qualifications

• Five to seven years of broker-dealer experience with a focus on compliance.
• Ability to work independently and in a team environment.

Responsibilities

• Interpret compliance policies and assist in branch control issues.
• Conduct mini-audits and provide guidance on local events.
• Liaise between Branch Supervision and Compliance Department.

Skills

Strong problem-solving

Lateral thinking

Project management

Communication skills

Interpersonal skills

Education

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

Tools

FINRA Series 7 and 9/10 licenses

Job description

Regional Compliance Officer (Southeast Region)

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Oppenheimer & Co. Inc. Provided Pay Range

This range is provided by Oppenheimer & Co. Inc. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base Pay Range

$95,000.00/yr - $115,000.00/yr

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Who We Are:

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:

The firm is seeking a Regional Compliance Officer to join their Compliance division. This position may be based at any of our Southeast regional branches in the states of Florida, Georgia, North Carolina, Pennsylvania, Tennessee and Virginia. A full list of branch locations is available on our website. This role requires working closely in an advisory capacity with Branch Management (collectively known as Branch Supervision) within your assigned region to ensure proper compliance with industry regulations and the policies and procedures of the Firm.

Responsibilities:

• Interpretation of Compliance policies
• Assisting in addressing branch control issues, including account reviews
• Assisting in investigating potential issues, inquiries, and resolutions
• Conducting mini‑audits and secondary reviews of surveillance reports
• Educating newly on‑boarded Branch Supervisors
• Providing guidance on local seminars, advertising, and events
• Assisting with the implementation (or termination) of Heightened Supervision Plans, as well as assisting with the identification of those who may require Heightened Supervision
• Acting as a resource to Branch Supervision during the pre‑hire process
• Liaising as an intermediary with Branch Supervision and all areas of the Compliance Department including Branch Examinations, Surveillance, Registration, AML, Regulatory, Control Room, and Asset Management Compliance
• Performing Special Projects as necessary

Qualifications:

• FINRA Registration: Series 7 and 9/10 licenses
• Five‑to‑seven years of proven and progressive broker‑dealer experience and strong background in branch office compliance and/or supervision
• Bachelor’s degree in business, finance, accounting, or related field
• Strong problem‑solving, lateral thinking, project management, and communication and interpersonal skills
• Self‑motivated and ability to work independently as well as in a flexible team‑based environment

Compensation:

This salary range 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. The current base salary offered for this role is $95,000.00 to $115,000.00 per year. Certain positions are eligible for additional forms of compensation such as discretionary bonus. The successful candidate may also be eligible to participate in the relevant business unit’s incentive compensation plan, which may include additional monthly incentive compensation and/or annual discretionary bonus.

Benefits:

Oppenheimer & Co. Inc. offers a comprehensive benefits package for eligible employees which may include Health, Dental, Vision, Mental Health & Wellness programs, 401(K), and PTO benefits. Oppenheimer & Co. Inc. offers paid family medical leave and disability benefits to eligible employees where required by applicable law.

Seniority Level

Mid‑Senior level

Employment Type

Full‑time

Job Function

Finance