Regional Operations Manager - Brokerage & Compliance

Oppenheimer & Co Inc; Washington (District of Columbia); On-site; USD 90,000 - 110,000; Full time

Benefits offered by this job

Discretionary bonus

Job summary

Oppenheimer & Co Inc in Washington, DC seeks a Regional Operations Manager to lead the Private Client Division in the DC Region. You will report to the National Branch Operations Administrator and Branch Managers, supervising daily operations workflow and ensuring regulatory compliance.

The role requires at least 5+ years in brokerage/financial services with management experience, strong MS Office skills, and excellent communication.

Qualifications

• At least 5+ years of brokerage/financial services experience along with management experience.
• FINRA Registrations: Series 7, 63/65 or 66, Series 8 or Series 9 & 10 required.
• Strong attention to detail and accuracy.
• Ability to navigate multiple computer systems and search tools.
• Excellent verbal, written, and interpersonal communication skills.
• Proven organizational, multi-tasking, and prioritizing abilities.

Responsibilities

• Oversee day-to-day supervision and workflow of all operations functions according to FINRA rules.
• Manage money movement, fund disbursement and receipt processing.
• Oversee order processing including cancellations and client inquiries.
• Coordinate with Branch Control Officer to fulfill supervisory requirements.
• Train and lead operational support staff and liaise with Firm infrastructure.

Skills

Brokerage experience

Management experience

Attention to detail

Communication skills

Microsoft Office Suite

Education

FINRA registrations: Series 7, 63/65 or 66, Series 8 or Series 9 & 10

Job description

Oppenheimer & Co Inc in Washington, DC seeks a Regional Operations Manager to lead the Private Client Division in the DC Region. You will report to the National Branch Operations Administrator and Branch Managers, supervising daily operations workflow and ensuring regulatory compliance.

The role requires at least 5+ years in brokerage/financial services with management experience, strong MS Office skills, and excellent communication.