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Regional Compliance Officer (Southeast Region)

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.

The firm is seeking a Regional Compliance Officer to join their Compliance division. This position may be based at any of our Southeast regional branches in the states of Florida, Georgia, North Carolina, Pennsylvania, Tennessee and Virginia. A full list of branch locations is available on our website . This role requires working closely in an advisory capacity with Branch Management (collectively known as Branch Supervision) within your assigned region to ensure proper compliance with industry regulations and the policies and procedures of the Firm.

• Interpretation of Compliance policies
• Assisting in addressing branch control issues, including account reviews
• Assisting in investigating potential issues, inquiries, and resolutions
• Conducting mini-audits and secondary reviews of surveillance reports
• Educating newly on-boarded Branch Supervisors
• Providing guidance on local seminars, advertising, and events
• Assisting with the implementation (or termination) of Heightened Supervision Plans, as well assisting with the identification of those who may require Heightened Supervision
• Acting as a resource to Branch Supervision during the pre-hire process
• Liaising as an intermediary with Branch Supervision and all areas of the Compliance Department including Branch Examinations, Surveillance, Registration, AML, Regulatory, Control Room, and Asset Management Compliance
• Performing Special Projects as necessary

• FINRA Registration: Series 7 and 9/10 licenses
• Five to seven years of proven and progressive broker-dealer experience and strong background in branch office compliance and/or supervision
• Bachelors degree in business, finance, accounting, or related field
• Strong problem solving, lateral thinking, project management, and communication and interpersonal skills
• Self-motivated and ability to work independently as well as in a flexible team-based environment

This salary range 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. The current base salary offered for this role is $95,000.00 to $115,000.00 per year. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus. The successful candidate may also be eligible to participate in the relevant business units incentive compensation plan, which may include additional monthly incentive compensation and/or annual discretionary bonus.

Oppenheimer & Co. Inc. offers a comprehensive benefits package for eligible employees which may include Health, Dental, Vision, Mental Health & Wellness programs, 401(K), and PTO benefits. Oppenheimer & Co. Inc. offers paid family medical leave and disability benefits to eligible employees where required by applicable law.

The compensation range and benefits for this position are based on a full-time schedule for a full calendar year. The salary will vary depending on your job-related skills, experience and location. Pay increment and frequency of pay will be in accordance with employment classification and applicable laws. For part time roles, your compensation and benefits will be adjusted to reflect your hours. Benefits may be pro-rated for those who start working during the calendar year

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