Regional Operations Manager (New England Region)

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 a Registered Regional Operations Manager to join Private Client Division in our New England Region. This position will report directly to the National Branch Operations Administrator with secondary reporting to the Branch Managers in Boston MA Providence RI and Portsmouth NH. The candidate will be responsible for the day-to-day supervision and workflow of all operations functions which include but are not limited to the following:

Responsibilities

• All money movement fund disbursement and/or fund receipt activity in accordance with FINRA rules
• All order processing including cancelations corrections and other critical order-related workflow including client service inquiries and resolutions
• Account opening
• Supervisory engagement with local resources (i.e. Branch Control Officer) to fulfill supervisory requirements
• Train and lead operational support staff
• Acts as liaison between the Branch and all Firm infrastructure areas
• Support Financial Professional onboarding
• Provides any special support as requested by Branch Manager

Qualifications

• At least 5 years of brokerage/financial services experience along with management experience
• FINRA Registrations: Series 7 63/65 or 66 and 8 or 9 & 10 required.
• Strong attention to detail and accuracy
• Ability to navigate multiple computer systems applications and utilize search tools to find information
• Excellent verbal written and interpersonal communication skills
• Effective organizational multi-tasking and prioritizing skills
• Able to work independently proactively and innovatively while exercising sound judgment
• Intelligent enthusiastic self-starter with proven ability to work closely with Financial Advisors and other team members
• High ethical standards
• Excellent time management conflict resolution skills
• Strong working knowledge of Microsoft Office Suite

Compensation:

For job postings in Massachusetts 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 Massachusetts 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 $80000.00 - $125000.00 at the time of this posting. Also certain positions are eligible for additional forms of compensation such as discretionary bonus.