Location: Stamford,CT, USA
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 an Operations Manager who is an integral part of the branch office management team to join our Branch Office in Stamford, CT. The Operations Manager will report directly to the Branch Office Manager (BOM).
Responsibilities:
* Supervise and oversee the day-to-day supervision of operations staff and branch operations functions
* Approve operational related transactions (KYC, check issuance and deposits, wire transfers, journal entries)
* Create procedures to ensure daily work, including approvals, are handled in a timely manner
* Order room (including order errors)
* Option approvals
* Margin inquiries
* Provide guidance on policies and procedures
* Assist with onboarding Financial Advisors
* Assist with AML review and compliance
* Interaction with legal and compliance regarding items that may require escalation
Requirements:
* 3 to 5 years industry experience
* Series 7 and 63 required, Series 9, 10 (or 8) is a plus
* Intelligent, enthusiastic self-starter with proven ability to work well with Financial Advisors and office staff
* Experience with personnel management
* Maintain the highest level of confidentiality and ethical standards
* Ability to work in a fast paced and highly regulated environment
* Ability to multi task