Regional Operations Manager (Washington, D.C.)

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

Job summary

Oppenheimer & Co. Inc. in the DC Region seeks a Registered Regional Operations Manager to oversee day-to-day operations of the Private Client Division, reporting to the National Branch Operations Administrator with secondary reporting to the Branch Managers in Washington DC, Vienna, Richmond, and Virginia Beach.

The candidate will supervise money movement, order processing, and account opening. You will train staff, coordinate with Firm infrastructure, and support onboarding of Financial

Qualifications

• Minimum 5+ years in brokerage/financial services with management experience.
• FINRA registrations required.
• Strong attention to detail and accuracy.
• Ability to navigate multiple computer systems and search tools.
• Excellent verbal, written, and interpersonal communication.
• Effective organizational, multi-tasking, and prioritizing skills.
• Independent, proactive and innovative with sound judgment.
• Self-starter with ability to work closely with Financial Advisors and other team members.
• High ethical standards.
• Excellent time management and conflict resolution skills.
• Proficiency in Microsoft Office Suite.

Responsibilities

• Oversee money movement, fund disbursement and/or fund receipt activity per FINRA rules.
• Manage order processing including cancellations and client inquiries.
• Oversee account opening processes.
• Coordinate supervisory engagement with Branch Control Officer and other resources.
• Train and lead operational support staff.
• Serve as liaison between Branch and Firm infrastructure areas.
• Support Financial Professional onboarding.
• Provide special support as requested by the Branch Manager.

Skills

Leadership

Attention to detail

Communication

Time management

Education

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

Tools

Microsoft Office Suite

Job description

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 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
• Account opening
• 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
• Support Financial Professional onboarding
• 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
• Excellent time management conflict resolution skills
• 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.