Southeast Regional Compliance Leader – Finance & Risk

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

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.