Compliance Surveillance Analyst
Company: Oppenheimer & Co. Inc.
Location: New York City
Posted on: February 16, 2026
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Job Description:
Job Description Job Description 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's is seeking a Surveillance
Analyst that will support the daily functions of the Compliance
department. The role is based in New York. Responsibilities:
Analyze current business processes and systems, define needs and
document business change requirements Monitor customer trading
activity for suitability via surveillance alerts and reports Review
Financial Advisors, Branch Management and Branch Personnel to
ensure they are following the policies and procedures of the Firm
Design, develop and test new monitoring reports Regularly engage in
verbal and written communications with business and support groups
on compliance, sales practices, and best practices Analyze problems
and assisting with solving and good decision making Collaborate
with the other divisions within the Compliance Department on
special projects Understand and apply broker/dealer regulatory
rules Testing of 3130 Annual Certification of Compliance and
Supervisory Processes Requirements: Bachelor’s degree required;
licenses a plus but not required 1-2 years of relevant work
experience Strong analysis, problem solving and decision making
skills Excellent communication skills and attention to detail are a
must Ability to follow directions and procedures accurately and
thoroughly Intermediate computer skills including Microsoft Office
Key criteria to have: Being able to determine if a trade is in line
(or not in line) with the new account form Identifying suitability
issues KYC suitability reviews 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 $60,000.00 - $80,000.00 at the time of this
posting. Also, certain positions are eligible for additional forms
of compensation such as discretionary bonus.
Keywords: Oppenheimer & Co. Inc., Hamden , Compliance Surveillance Analyst, Accounting, Auditing , New York City, Connecticut
