Regional Operations Manager (Washington, D.C.)

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

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Regional Operations Manager (Washington, D.C.)

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 Registered Regional Operations Manager to join Private Client Division in our DC Region. This position will report directly to the National Branch Operations Administrator with secondary reporting to the Branch Managers in Washington DC, Vienna, VA, Richmond, VA and Virginia Beach, VA. The candidate will be responsible for the day-to-day supervision and workflow of all operations functions which include, but are not limited to the following:

Responsibilities:

• All money movement, fund disbursement and/or fund receipt activity, in accordance with FINRA rules
• All order processing, including cancelations, corrections and other critical order-related workflow, including client service inquiries and resolutions
• Supervisory engagement with local resources (i.e. Branch Control Officer) to fulfill supervisory requirements
• Train and lead operational support staff
• Acts as liaison between the Branch and all Firm infrastructure areas
• Provides any special support as requested by Branch Manager

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 & Series 10 required.
• Strong attention to detail and accuracy
• Ability to navigate multiple computer systems, applications, and utilize search tools to find information
• Excellent verbal, written, and interpersonal communication skills
• Effective organizational, multi-tasking, and prioritizing skills
• Able to work independently, proactively and innovatively while exercising sound judgment
• Intelligent, enthusiastic self-starter with proven ability to work closely with Financial Advisors and other team members
• High ethical standards
• Strong working knowledge of Microsoft Office Suite

Compensation

For job postings in New Jersey, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the State of New Jersey 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 - $110,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.