Operations Manager (Stamford) Job at Oppenheimer & Co. Inc.
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:
Operations Manager is an integral part of the branch office management team. The Operations Manager will report to the Branch Manager.
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, 63, 9, 10 (or 8) required
- 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
- Bilingual a plus but not required
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