Compliance Quality Assurance Analyst - Oppenheimer & Co. Inc.

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

Oppenheimer & Co. Inc. is seeking an Anti-Money Laundering (“AML”) Compliance Quality Assurance Analyst. The successful candidate will join an AML Compliance Quality Assurance (“AML QA”) team that tests across the firm’s AML Compliance Program against applicable regulatory requirements and leading AML risk management guidance and best practices.

Responsibilities:

• Execute well-documented audits assessing the design and effectiveness of AML controls.
• Identify and report deficiencies to AML Management along with recommended actions for correction/enhancement.
• Perform an annual AML risk assessment on business areas to identify their inherent AML risks.
• Contribute to the development and execution of an annual AML QA Test Plan.

Qualifications:

• Experience or interest in Auditing, Testing, Legal or Compliance, especially if related to AML or other Financial Crimes.
• AML experience preferred.
• Securities industry knowledge preferred.
• Strong interest in reading and interpreting legal language.
• Great analytical skills with high attention to detail and accuracy.
• Ability to think critically and make objective, evidence-based recommendations.
• Ability to communicate clearly and persuasively, especially in writing.

Compensation:

For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York 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 $65,000.00 - $80,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.