Compliance Analyst

Compliance AnalystOppenheimer & Co. Inc. is seeking a Compliance Analyst to join the Compliance team supporting Oppenheimer Asset Management ("OAM") in New York. This role supports the firm's compliance program through compliance testing and monitoring, regulatory filings, policy and procedure maintenance, and annual compliance reviews.Responsibilities:Perform compliance testing and monitoring of the firm's written supervisory procedures and compliance program under Rule 206(4)-7 of the Investment Advisers Act of 1940Assist with the planning, execution, documentation, and reporting of annual compliance reviewsParticipate in the preparation, review, and filing of regulatory submissions, including SEC filings and updatesTrack, coordinate, and maintain updates to the Compliance Manual, policies, procedures, and related documentationMonitor remediation efforts and track the resolution of compliance findings and action itemsAssist with regulatory examinations, internal audits, and compliance-related inquiriesMaintain records and documentation in accordance with regulatory requirementsWork closely and collaboratively with business and control functions across Oppenheimer Asset Management to identify and address compliance risksSupport special projects and strategic compliance initiatives as neededQualifications:3 to 5 years of compliance experience within an investment adviser, asset manager, broker-dealer, or financial services organizationFamiliarity with the Investment Advisers Act of 1940 and related regulatory requirementsExperience conducting compliance reviews, testing, monitoring, or control assessmentsStrong organizational, analytical, and written communication skillsAbility to manage multiple priorities and meet deadlines in a fast-paced environmentDemonstrated ability to take ownership of assignments and drive projects to completion with minimal supervisionStrong interpersonal skills and ability to work effectively both independently and as part of a teamProficiency with Microsoft Office applications, particularly Excel, Word, and PowerPointBachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or a related fieldExperience supporting SEC regulatory filings, including Form ADV updates, preferredExperience within a dual registrant environment preferredKnowledge of asset management products and advisory operations preferredIndustry certifications such as IACCP or CRCM preferredFINRA Registrations a plusCompensation:For job postings in New York State, 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 York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $75,000.00 - $85,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.