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Oppenheimer & Co jobs in Florham Park, NJ - 165 jobs

  • Account Service Representative

    Oppenheimer & Co 4.7company rating

    Oppenheimer & Co job in New York, NY

    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 Asset Management (OAM) offers high net worth and institutional investors the opportunity to participate in a wide range of traditional and non-traditional investment strategies. The Account Services Group is responsible for servicing all programs offered by OAM. We are looking for a highly motivated self-starter who is interested in a career in Asset Management Administration. Candidate must possess the ability to multi-task and manage multiple domestic and international client relationships in addition to the following: Candidate Requirements: * Proficiency in Microsoft Excel with knowledge of lookups and intermediate functions. * Highly effective communication skills, verbal and written, with ability to work in a team environment. * Above average organization, prioritization and problem solving skill set while performing numerous miscellaneous account administrative duties. * Ideal candidate has a strong understanding of investment products (stock, bonds, ETFs, fixed income, etc.) and overall securities brokerage operations. Responsibilities: * Ensuring that prospective investors meet suitability requirements and standards to invest in a structured program while complying with anti-money laundering guidelines. * Processing investor advisory agreements, and translating the information in client data bases. * Interacting with financial advisors, sales assistants, custodians and third-party service providers. * Coordinating with third party managers reviewing account opening documents and client restrictions to ensure client funds are invested in a timely manner while adhering to the client signed agreement. * Sending regulatory and firm required client correspondence to clients where needed. * Producing / reviewing ad hoc reports for senior management. * Providing a high quality of service to financial advisers and their clients who are predominately high net worth and institutional investors. * Contributing to internal project initiatives and helping to coordinate the launch of new product offerings and communication with third party vendors and managers. * Facing off with the broker dealer for prompt resolution of client inquires, knowing when situations need to be escalated to senior management. 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 $55,000.00 - $65,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
    $55k-65k yearly 60d+ ago
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  • Investment Banking ECM Director / VP

    Oppenheimer & Co. Inc. 4.7company rating

    Oppenheimer & Co. Inc. job in New York, NY

    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. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Rental Services, Technology, Media and Communications as well as Transportation and Logistics. Our range of services include Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions as well as Debt Advisory & Restructuring. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our targeted client - high growth, entrepreneurial, middle market companies. Since 2019, Oppenheimer's ECM team has executed over 200 Active Book run or Lead Placement Agent transactions for its corporate clients. Position available for immediate hire. Job Description Our Equity Capital Markets team is actively looking for a Director / VP for our New York office. The candidate will be working closely with senior members of our active Industry Groups to originate and execute equity and equity-linked transactions. This role will primarily focus on the Technology, Consumer, FIG and Industrials sectors. Responsibilities: Origination and execution of transactions including Initial Public Offerings, Follow-on Public Offerings, CMPOs, RDs, PIPEs, SPACs and Private Placements Expand and develop client relationships with key institutional investors including mutual funds, hedge funds and family offices Liaise with both internal and external parties (including corporate issuers, financial sponsors, legal counsel, among others) to expand corporate relationships and drive day-to-day deal process Develop an in-depth understanding of our sectors Lead pitch drafting as well as transaction marketing documents Analyze and present deal data for senior level management teams and corporate issuers Support new business and marketing initiatives as appropriate Demonstrate a commitment to the group's success on new opportunities, mandates and overall growth Management, training and stewardship of analysts and associates Qualifications: Must have 3-5 years of experience in ECM, primarily execution SPAC experience preferred Sales driven mentality with a strong capital markets acumen Strong verbal and written communication skills Elevated attention to detail and consistency in work product Strong work ethic and team player Dealogic, Ipreo, CapIQ, PlacementTracker, Bloomberg, MS Office suite knowledge strongly preferred SIE, Series 63, 79 FINRA registrations required at time of hiring or shortly thereafter 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 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 $170,000.00 - $200,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus. #LI-KG1
    $170k-200k yearly 9d ago
  • Associate

    Cantor Fitzgerald 4.8company rating

    New York, NY job

    We are seeking a Production Analyst with 1-3 years of commercial real estate experience; Fannie Mae/Freddie Mac multifamily Production or Underwriting experience considered a plus. The Production Analyst's primary responsibility will be to provide day-to-day financial, market and underwriting analysis of multifamily loans, and to manage a pipeline of in process and prospective loans. The candidate will work directly with partner platforms in scheduling and attending property tours for prospective Buyers on assets listed by the aforementioned platforms. This role is an excellent opportunity to be thoroughly educated about the process of originating multifamily mortgages, to have extensive contact with our clients and to train under the premier multifamily lending programs of Fannie Mae & Freddie Mac, as well as in the delivery of other proprietary debt and equity products. This position affords the opportunity to work as part of an origination team on the sourcing, structuring and underwriting of transactions. ESSENTIAL DUTIES AND RESPONSIBILITIES: Analyze, interpret and present complex multifamily real estate transactions in compliance with respective lender guidelines Assist with the assembly of the required reporting for the Origination team - portfolio retention and new generation as needed Conduct detailed economic and demographic research to determine feasibility of transactions Develop and maintain strong relationships with underwriting, closing and asset management, as well as external agency investors and lending partners Communicate with clients regarding various loan programs, determine optimal structures, and present applicable terms to generate business. CORE COMPETENCIES: Highly developed analytical, research and written oral presentation skills Ability to problem-solve and exercise independent judgment while displaying a high degree of initiative and accuracy Demonstrated ability to organize & prioritize projects; complete multiple tasks on schedule Ability to work productively under minimal supervision Must be proficient In Microsoft Office suite of applications including Word, Excel and PowerPoint Strong work ethic and pro-active team player able to work effectively under sometimes stressful conditions QUALIFICATIONS: BA/ BS / Master's degree in Accounting, Finance, Economics, Real Estate or other related fields Able to travel a minimum of 0-20% BENEFITS AND PERKS: Industry leading Parental Leave Policy (up to 16 weeks) Generous healthcare Bright Horizons back-up care program Generous paid time off Education reimbursement Referral Program Opportunities to network and connect Benefits/perks listed may vary depending on the nature of your employment with Newmark and the job location. Salary: $50,000 - $65,000 annually The expected base salary for this position ranges from $50000 to $65,000 annually. The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.). Working Conditions: Normal working conditions with the absence of disagreeable elements. Note: The statements herein are intended to describe the general nature and level of work being performed by employees and are not to be construed as an exhaustive list of responsibilities, duties, and skills required of personnel so classified. Newmark is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex including sexual orientation and gender identity, national origin, disability, protected Veteran Status, or any other characteristic protected by applicable federal, state, or local law.
    $50k-65k yearly Auto-Apply 30d ago
  • Technology Support Analyst

    William Blair 4.9company rating

    New York, NY job

    The Technology Support Analyst will deliver high quality, effective technical support for the firm's desktop hardware and software systems, ensuring exceptional client service to end users. Administer and monitor technical support workflows through the help desk ticketing system. Assess and prioritize the end user inquiries and issues. Perform setup, maintenance, troubleshooting and repair activities for user hardware and software solutions. Assist end users with requests and issues to ensure the daily availability and proper operation of their devices and desktop software. The employee in this role will be required to work in the NYC office 5 days a week. This position requires flexibility in work hours, including the ability to work evenings and weekends up to six times per year. Candidates should be prepared to adjust their schedules to accommodate these occasional demands. Responsibilities include but may not be limited to: Deliver high quality, effective technical support for the firm's desktop hardware and software systems. Assess and prioritize the end user inquiries and issues. Ensure that requests are handled in accordance with service level agreements. Utilize established help desk workflow procedures and tools to provide prompt action, detailed communication and complete resolutions. Identify, troubleshoot, analyze and resolve user technical issues. Apply fixes and document solutions. Document and report on issue status to Technology Client Support management. Escalate complex issues using established procedures. Perform setup, maintenance and upgrades of user hardware and software solutions in conjunction with Technology Client Support team members and other system administrators. Administer desktop security protocols according to IT Security procedures. Document and report security incidents to team management. Ensure all activities are in compliance with applicable rules, regulations, policies and procedures. Additional responsibilities as requested. Qualifications: Bachelor's Degree in IT related field preferred. 2 - 5 years of experience in technical support or systems administration required; financial services industry experience preferred. Strong problem resolution skills. Strong time management and prioritization skills. Ability to work effectively in a team environment. Ability to collaborate across multiple functions. Attention to detail and quality. Technical knowledge and training in multiple key elements (data/voice communications, servers, networks, desktop) of the firm's computing environment. Knowledge of core technology industry trends and best practices. Strong written and verbal communication skills. Physical Requirements: Lift and push objects (i.e. IT hardware); reach with hands and arms, bend, kneel (i.e. plug in cables), and perform other moderately strenuous activities; occasionally lift or push up to 40 lbs. #LI-CH #LI-Onsite
    $70k-106k yearly est. Auto-Apply 7d ago
  • Research Associate - P&C Insurance

    Oppenheimer & Co 4.7company rating

    Oppenheimer & Co job in New York, NY

    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., a leading investment bank, is currently seeking an equity research associate to support the P&C Insurance franchise. The position is located in NYC. Our ideal candidate has had some equity research experience (exposure to finance, accounting and proficient at modeling) and has a working knowledge of the insurance industry, though we will consider all qualified candidates. Strong analytical skills, the ability to work under pressure, and to work collegially with the senior analyst are requirements. The research associate will work in conjunction with and support the lead analyst on the team on all aspects of developing and marketing equity research products, including research reports, models, and industry analysis. The position demands independence, initiative, and entrepreneurship, as the associate will gain responsibility over a broad array of financial model building and updating, report writing, and other duties. Attention to detail, a strong work ethic, and ability to multi-task are also critical. In addition to the above, we look for people who possess, or have the potential to possess, the following characteristics: * Strong financial modeling, accounting, valuation, and quantitative skills. Associates are responsible for building and maintaining integrated I/S, B/S, and C/F models, and for organizing and maintaining industry data. * Strong writing and analytical skills. Associates are responsible for writing and producing company initiations, equity research reports, and marketing presentations. * A passion for the stock market, the insurance industry, and equity research. It is highly advantageous to have exposure to the financial markets and equity research, as well as an understanding of the day-to-day responsibilities of an equity research associate. * Strong sales and communication skills. Associates will interact with internal sales and trading and external clients. Responsiveness and professionalism is important. * Ability to work independently, and initiate and accomplish projects with minimal supervision. Self-starters with a strong work ethic are highly desirable and is a necessary skill given the demands of working on Wall Street. * Ability to organize, prioritize and manage multiple projects simultaneously. * PC skills: the position requires strong Excel skills and a fair command of Word, PowerPoint, Bloomberg and FactSet. * Most preferred are candidates with a BA in Finance and/or CFA and already FINRA registered (SIE, Series 7, 63, 86, 87). However, we will consider other strong candidates without these credentials too. 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 $100,000.00 - $150,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
    $100k-150k yearly 60d+ ago
  • Investment Banking Sr. Associate / Director - Healthcare Life Sciences

    Oppenheimer & Co 4.7company rating

    Oppenheimer & Co job in New York, NY

    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. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Energy, Financial Institutions, Healthcare, Industrial Growth and Services, Rental Services, Technology, Media and Communications as well as Transportation and Logistics. Our range of services include Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions as well as Debt Advisory & Restructuring. This combination of industry and product groups enables the firm to deliver advice, strategies and capital with a universal banking approach to our targeted client high growth, entrepreneurial, middle market companies. Job Description Our Healthcare Life Sciences team is actively looking for an experienced Sr. Associate or VP/Director for our New York office. The candidate will be working closely with senior members of the Healthcare Group to prepare valuations, prepare analyses and participate in due diligence and drafting sessions for public offerings. Additionally, the candidate will also be responsible for structuring and executing transactions, and often function as a backup for relationships with important clients as well as be the key contact for some clients. Responsibilities: * Conduct scientific and clinical analysis of therapeutic areas, drug mechanisms, development pipelines, and competitive landscapes to inform strategic positioning and transaction narratives * Support new business (for both public and private clients) and marketing initiatives as appropriate * Lead day-to-day transaction execution under direction of Managing Directors * Lead pitch drafting as well as transaction marketing documents * Originate and execute transactions including Initial Public Offerings, Follow-on Public Offerings, CMPOs, RDs, PIPEs, Private Placements, Convertible Note Offerings, and Mergers and Acquisitions * Manage and execute on buyer interaction, transaction due diligence, etc. * Review and oversee development of financial models, valuation analyses, research * Liaise with both internal and external parties (including corporate issuers, financial sponsors, legal counsel, among others) to expand corporate relationships and drive day-to-day deal process * Review and oversee development of financial models, valuation analyses, research Qualifications: * Bachelors Degree required * 4-6 years of investment banking, equity research or healthcare industry experience required * Science background with an MD, PhD or PharmD strongly preferred * Sales driven mentality with confident interpersonal skills to interact with clients and manage team members * Demonstrated aptitude for quantitative and qualitative analysis * Exceptional communication skills and executive presence, both verbal and written * Elevated attention to detail and consistency in work product * High degree of maturity, integrity, demonstrated leadership skills and work ethic * Self-starting team player who excels in a fast-paced, entrepreneurial, challenging work environment * SIE, 79, 63 FINRA registrations required at time of hiring or shortly thereafter 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 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 $160,000.00 - $200,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
    $160k-200k yearly 60d+ ago
  • Corporate Paralegal, Investment Banking (Capital Markets / M&A / Structured Products)

    Cantor Fitzgerald 4.8company rating

    New York, NY job

    Job Title: Corporate Paralegal, Investment Banking Firm Overview: Cantor Fitzgerald is a diversified company primarily specializing in financial and real estate services for institutional and corporate customers operating in the global financial and commercial real estate markets. Since 1945, we have successfully built a well-capitalized business across multiple business lines, with numerous market-leading financial services and commercial real estate businesses. We have been at the forefront of financial and technological innovation in our industries while developing new markets and providing superior service to thousands of customers globally. At Cantor, our employees are our greatest asset. We look for individuals who are driven, intellectually engaged, team oriented and have a real desire to make an impact. Job Description: The Corporate Paralegal will assist the attorneys and senior investment banking paralegal that support the Firm's Investment Banking group, which has multiple industry verticals and works on a wide variety of U.S. and cross border transactions in M&A, Capital Markets and Debt/Structured Products. Responsibilities: • Support the Cantor Investment Banking Division & Structured Products Group by drafting, reviewing and negotiating non-disclosure/confidentiality agreements, non-reliance letters and other transaction agreements, under attorney supervision; • Managing legal records retention for investment banking transactions; • Administering DocuSign process for investment banking legal agreements and maintaining database of executed agreements; • Assistance in reviewing and updating form agreement library; • Coordinate with legal, compliance and investment banking colleagues on firm-wide matters, including updating internal investment banking policies and procedures; and • Opportunity to expand responsibilities with appropriate experience, including substantive review of engagement letters and other operative agreements, under attorney supervision. Required Qualifications: • Bachelor's Degree; • Ability to work independently and effectively in a fast-paced high-pressure environment, managing a variety of transactions and tasks; • Excellent writing, organization and interpersonal skills and attention to detail; • Responsive and attentive to internal business client needs; • Proactive; ability to initiate follow-up in order to ensure timely execution of projects; and • Ability to maintain strict confidentiality and high ethical standards. Helpful Qualifications: • At least 2+ years of experience as a corporate paralegal, in-house or at a law firm, or other experience in financial services or with a financial services client; • Familiarity with DocuSign, DataStore, Hummingbird/E-Docs or other document management systems; and • Notary public license. *We are also open to candidates considering attending law school in the future who may want to return to Cantor as summer associates and, upon graduation, full-time attorneys. Base Salary: $100k Min - $125k Max The expected base salary for this position ranges from $100k to $125k. The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).
    $100k-125k yearly Auto-Apply 60d+ ago
  • Valuation Ops Analyst

    Cantor Fitzgerald 4.8company rating

    New York, NY job

    JOB DESCRIPTION (Analyst): Under direct supervision, assist in the collection and analysis of data for senior staff to use in order to formulate an opinion of the market value of real estate for the purposes of dispute resolution, mortgage underwriting, acquisition/disposition, portfolio analysis and estate purposes. SKILLS, EDUCATION AND EXPERIENCE: Bachelor's Degree (preferably in real estate or other related subjects such as economics & finance); preference is given to MS or MBA in Real Estate. At a minimum, must have or will obtain appraiser trainee license issued by the appropriate state Board. Proficient in Excel and Word. Knowledge of Argus is a plus. Preference given to prior professional experience in real estate analysis, market research or related field. Strong analytical, writing and communication skills. Strong organizational and multi-tasking skills. WORKING CONDITIONS: Normal working conditions with the absence of disagreeable elements NOTE: The statements herein are intended to describe the general nature and level of work being performed by employees, and are not to be construed as an exhaustive list of responsibilities, duties, and skills required of personnel so classified. Newmark is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex including sexual orientation and gender identity, national origin, disability, protected Veteran Status, or any other characteristic protected by applicable federal, state, or local law. ESSENTIAL DUTIES: Collects, analyzes, and reports appraisal related market data through internal and outside sources. Responsible for understanding all company research related database programs. Will inspect properties as part of the valuation process along with Senior Appraiser. Assists in the preparation of sections of appraisal reports under the direct supervision of a State Certified Appraiser. Understands all necessary software programs used to prepare valuation reports. Will continue training on current government regulations, zoning laws and appraisal standards Understands and utilizes necessary third-party data sources. May perform other duties as assigned.
    $75k-108k yearly est. Auto-Apply 27d ago
  • Senior Research Associate - Biotechnology

    Oppenheimer & Co. Inc. 4.7company rating

    Oppenheimer & Co. Inc. job in New York, NY

    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 currently seeking a Senior Research Associate to join our Biotechnology equity research team. The position is located in New York City. As a Research Associate, you will work directly with the Senior Research Analyst on many aspects of the research process including: building and maintaining financial models, performing fundamental analysis and due diligence on biopharmaceutical companies, writing investment-driven research reports, developing and fielding industry surveys, attending medical and scientific conferences, and undertaking a wide array of industry analyses and competitive assessments. The associate will have broad exposure to company management and investor conferences, and will interface with key opinion leaders, institutional investor clients, and internal sales force and trading personnel. Our ideal candidate has an undergraduate degree in a related field of study, including biology, chemical engineering, biochemistry, biomedical engineering, biotechnology, molecular biology, genetics, or pharmacology. An advanced degree (MSc, PHd, MBA) is required. Minimum of two years of sellside equity research experience is required. The ideal candidate pays excellent attention to detail, is skilled at time management, has a strong work ethic, effective oral and written communication skills, and an outstanding academic record. A strong candidate is independently motivated, analytically-minded, and intellectually curious; possesses at least some experience with financial modeling and exposure to the equity markets; and, has a passion for life sciences investing. We look for people who possess the following characteristics: Exceptional academic background. A thorough understanding of the investment process and the ability to perform deep primary research. Excellent quantitative and financial modeling skills. Associates are responsible for building and maintaining company financial models and for organizing and updating industry data. Strong writing skills. Associates are responsible for authoring equity research reports, company initiations, industry reports, and marketing presentations-sometimes under tight time constraints. Responsiveness, professionalism, and the ability to manage priorities to meet deadlines. Experience in biopharmaceuticals equity research, drug development, or related field preferred. Proficiency in Microsoft Office; FactSet, Bloomberg would be a bonus. Fully FINRA registered (SIE, Series 7, 63, 86, 87) is preferred. CFA Charterholder is a bonus. Compensation: 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 your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $150,000.00 - $200,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus
    $150k-200k yearly 29d ago
  • Senior Capital Markets Surveillance Analyst

    Oppenheimer & Co 4.7company rating

    Oppenheimer & Co job in New York, NY

    Who We Are: Oppenheimer & Co. Inc. 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 a Senior Capital Markets Surveillance Analyst who will be an integral part of the Compliance Capital Markets department, acting as a Surveillance Analyst and advisor to the Capital Markets business units. This individual will report to the manager of the Compliance Capital Markets Group. Your Role and Responsibilities (not limited to): * Perform various surveillance reviews of capital markets activity for specific functional areas within the Equity, Fixed Income, Public Finance and Syndicate Divisions to ensure the firm is conducting business in line with prevailing compliance requirements. Responsible for performing inquiries (internal and external), test new and/or existing surveillance systems to assess compliance with relevant internal policies, as well as external regulations * Perform various Penny Stocks surveillance reviews of Capital Markets Groups to ensure the Firm is conducting business in line with Firms policy * Archive all regulatory inquiries received and responded by the Capital Markets Group in the compliance electronic shared drive * Responsible for the audit of municipal public finance negotiated and competitive underwriting business deal files in adherence with firms policies and procedures * Review filled orders for the U.S. based retail branches to ensure the orders were properly marked Sell Short Exempt and which exemption is being relied upon * Responsible for Electronic Blue Sheet Submission (as needed) and Quality Control Review Process of Electronic Blue Sheet Reports in order to verify that all data entered by users is accurate and consistent with the Regulatory Inquiry * Provide guidance on policies and procedures to the capital markets business departments * Perform e-mail reviews of the capital markets business departments * Assist CCMG Groups manager in special projects Skills/Requirements: * Proficient in technology and computer skills, Microsoft Office (specifically Word and Excel) * Good organizational and time management skills * Ability to multitask various projects in a timely manner and escalate issues to manager as appropriate * Bachelors degree required * Must have at least 5 + years industry experience * FINRA registrations: Series 7 & 24 preferred 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 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 $85,000.00 - $100,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
    $85k-100k yearly 58d ago
  • Investment Banker, M&A

    UBS 4.5company rating

    New York, NY job

    Your role We're looking for an Investment Banker to: * Assist in the origination and execution of M&A transactions for domestic and foreign corporate and private equity clients * Work on major workstreams of M&A transactions including diligence, the development of financial projections and analyses, and all client deliverables * Independently prepare, interpret, and discuss analytical data * Present to internal and external clients effectively and with confidence * Collaborate with colleagues across the globe to provide clients with seamless transaction execution * Generate new ideas and creative approaches that push the business forward * Make sound and balanced judgments (and always within professional, ethical, regulatory, and legal standards) Detailed salary information: * New York: the salary range for this role is $175000 to $200000 The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits. Join us At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves. We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us. Your expertise * Experience in originating and executing public and private M&A transactions as well as relevant M&A structuring * Ability to work effectively with both corporate and private equity clients * Strong analytical skills and proficiency in all relevant financial analyses * Demonstrated track record of taking initiative and managing teams * Undergraduate degree and MBA or JD * LI-UBS * UBS-MOGUL About us UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe. We know that great work is never done alone. That's why we place collaboration at the heart of everything we do. Because together, we're more than ourselves. Want to find out more? Visit ubs.com/careers.
    $175k-200k yearly 1d ago
  • Attorney, Securities & Governance

    Cantor Fitzgerald 4.8company rating

    New York, NY job

    Tittle: Junior to Mid-Level Securities and Governance Attorney Corporate Attorney for SEC Reporting, 1933 and 1934 Act, Corporate Governance, Capital Markets and Financing Transactions and General Corporate Matters Cantor Fitzgerald's Corporate Legal Department has an immediate need for a junior to mid-level corporate attorney to assist with its premier global financial services and real estate companies. Responsibilities will include assisting with preparation of filings for periodic SEC reporting for NASDAQ-listed public companies, advising on corporate governance including periodic policy updates and changes, Corporate Responsibility and similar matters, board approvals and related party matters, Section 16 reporting, securities transactions including assisting with equity incentive plans and stock issuances, and similar matters. Assistance with financing and capital markets, treasury and similar transactions is also expected. May include some drafting, diligence, negotiating and reviewing of M&A transactions, joint ventures and similar agreements, NDAs and commercial agreements. Some involvement with offerings, reorganizations, joint ventures, licensing agreements, partnership and other corporate matters is a plus. This diverse position reports to the Chief Counsel for Securities and Corporate Governance and Corporate Secretary. Environment is fast-paced and dynamic. The qualified candidate will have a high level of flexibility and maturity, sense of urgency, excellent attention to detail and strong work ethic. Must be able to juggle multiple responsibilities and exercise sound business judgment. Qualifications: 3+ years of general corporate legal experience Specific experience with '33 and '34 Act public company reporting and disclosure required Excellent academic credentials required, including bachelor's degree and a J.D. from an ABA-accredited U.S. law school Admission to the NY State Bar in good standing Excellent writing and interpersonal skills a must Willingness to guide and educate paralegal staff Willingness to accept significant responsibility and interface periodically with outside counsel, senior attorneys and executives Provide a summary of recent transactions with resume Educational Qualifications: Excellent academic credentials required, including bachelor's degree and a J.D. from an ABA-accredited US law school Salary: $200,000 - 220,000 The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).
    $200k-220k yearly Auto-Apply 59d ago
  • Registered Client Service Associate (Chrysler East, NY)

    Oppenheimer & Co. Inc. 4.7company rating

    Oppenheimer & Co. Inc. job in New York, NY

    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.'s Private Client Division is currently seeking a Registered Client Service Associate to join our Private Client Division in New York. The RCSA's primary responsibility is to support Financial Advisors in sales, marketing and day-to-day operations of a growing wealth management practice. This role requires superior interpersonal and multi-tasking skill sets. The candidate should be able to operate independently as well as a member of a small team. This role will assist in performing a variety of daily tasks so that the team grows their business, runs smoothly, and meets service excellence standards. Responsibilities Learn and adapt to service the needs of various accounts in order to answer day-to-day questions from clients and advisors Quickly develop knowledge of a variety of forms and account procedures in order to assist clients Learn to utilize research and technical support tools Produce quality analytical reports using various software programs Promote Firm services by enhancing relationships with advisors through timely and accurate responses to questions Act with integrity and respect in all situations Cultivate and grow existing client relationships Assist with marketing efforts and plan client events Prioritize daily work, track progress of projects and deadlines, answer phones, take messages and schedule appointments Demonstrate initiative and desire to increase knowledge of rules, regulations and concepts Local office interaction with other support members, Financial Advisors and Management Skills/Requirements FINRA Registrations: Series 7 and 63/65 (or 66) required (within first three months of hire) 2+ years' experience working as a sales assistant/CSA in a corporate/brokerage environment Possess a high degree of proficiency with technology including MS Office products (Word, Excel, PowerPoint and Outlook), and can quickly learn internal software programs Must be a team player with an energetic, positive disposition seeking growth and opportunity to expand the role Must be able to maintain the highest level of confidentiality Demonstrate strong accuracy and thoroughness in all facets of daily work and possess superb organizational skills Able to interface and articulate well with all levels of employees, management and clients in a highly professional, timely and friendly manner Able to meet designated deadlines and work effectively in a pressurized environment under time constraints Demonstrate the ability to handle multiple tasks to completion with little or no supervision Compensation: 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 your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $55,000.00 - $60,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus
    $55k-60k yearly 16d ago
  • Manager, Technology Services

    William Blair 4.9company rating

    New York, NY job

    The Manager Technology Services will manage William Blair's technology support staff who provide end user technical support through a distributed support model for local offices in various regions across US and EMEA. Partner with Central Technology Services (CTS) and Workplace Solutions (WPS) for project delivery and facilitation of technical needs for local offices. Provide the infrastructure and resources to operationalize technical support plans. Develop and implement processes and procedures for end user support and support workflows unique to local offices. Monitor service level metrics and status of escalated technical issues to ensure appropriate level of support and identify technical trends and concerns. This position will report to the Director, Global IT Service Delivery. Some domestic and international travel required. The employee in this role will be required to work in the NYC office 5 days a week. Responsibilities include but may not be limited to: Manage a distributed local support team that may be across various remote offices. Partner with CTS Teams and WPS to coordinate technology support activities with infrastructure and local facilities teams. Determine staffing needs and administer human resources policies, including hiring, compensation, performance reviews and training. Develop and maintain a detailed understanding of firm and business unit technology support needs. Provide input on the development of short- and long-term technical support plans. Ensure appropriate resources and skillsets to operationalize plans and achieve service level objectives and system availability. Assist with the development of standards, policies, and procedures for local technical support activities. Help define support workflows, ticketing processes, and documentation requirements. Incorporate risk controls into procedures and ensure that required IT security protocols are clearly defined and executed. Audit procedures on a regular basis for improvement opportunities. Monitor service level metrics and status of escalated technical issues to ensure appropriate level of support and identify technical trends and concerns. Report on issues and key performance indicators to IT and business unit management. Manage and develop IT support staff to achieve consistent high-quality results and excellent problem solving skillsets measured by key performance indicators relevant to their roles. Serve as an escalation point for significant IT operational or risk issues for respective office assignments or regions. Review reports on issue resolution to identify enhancements, tools and/or changes to prevent future incidents. Develop and manage vendor relationships to facilitate issue resolution. Ensure vendors adhere to established service level agreements. Evaluate trends in technology support and their impact to William Blair IT environment. Ensure all activities are in compliance with applicable rules, regulations, policies and procedures. Additional responsibilities as requested. Qualifications: Bachelor's Degree in IT related field required 8+ years of experience in core technologies, with a focus on technical support or systems administration required; financial services industry experience preferred 5+ years of previous management experience required Demonstrated success in leading a team of IT support professionals Excellent project management and prioritization skills Ability to collaborate across multiple functions Attention to detail and quality In-depth technical knowledge and training in multiple key elements (data/voice communications, servers, networks, desktop) of the firm's computing environment Detailed knowledge of core technology industry trends and best practices Strong written and verbal communication skills Excellent problem resolution skills #LI-CH #LI-Onsite
    $116k-171k yearly est. Auto-Apply 7d ago
  • Staff Auditor

    Oppenheimer & Co 4.7company rating

    Oppenheimer & Co job in New York, NY

    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 a Staff Auditor to join our Internal Audit Department in New York. In this role, the auditor will participate in risk-based audits across the Firms business lines and support functionsincluding brokerage operations, trading, supervisory processes, investment advisory and asset managementto assess the effectiveness of internal controls, regulatory compliance, and operational efficiency. Working under the direction of Internal Audit leadership, the Staff Auditor will assist with audit planning, fieldwork, and reporting activities in accordance with professional auditing standards and regulatory expectations, and collaborate with business partners in a fast-paced environment. Responsibilities: * Conducts an internal audit under the general direction of the Head of Internal Audit or designee in compliance with audit standards, schedules and regulatory expectations * Perform Sarbanes-Oxley, SSAE-18 and FINRA 3130 testing * Develop an understanding of the function/department and how it relates to other areas of the firm * Develop written deliverables, including a planning memo, risk and control matrix, testing procedures and a draft audit report * Evaluate audit test results and discuss potential issues with the Head of Internal Audit * Present audit findings and recommendations and discuss their implications with the auditee * Prepare and maintain audit documentation in accordance with industry highest quality standards and internal approved guidelines * Keep current with audit best practices, industry knowledge and regulations through continuing education Skills/Requirements: * Bachelors Degree in Accounting, Finance, Business or a related field * Up to 4 years of Internal Audit experience; relevant industry experience preferred * Excellent written and verbal communication skills * Excellent analytical ability and problem solving skills * A high degree of initiative, inquisitiveness, enthusiasm and attention to detail * Eager to stay ahead of industry trends and best practices * Strong understanding of internal control concepts, audit principles, and risk assessment * Familiarity with securities industry operations, FINRA/SEC regulatory environment, and broker-dealer supervisory processes is a plus * Proficiency with Microsoft Office (Excel, Word, PowerPoint, Visio); experience with data analysis tools (e.g., IDEA, Tableau) is a plus * CIA, CPA, or CFE certifications or progress toward certification is preferred, but not required 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 $95,000.00 - $120,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
    $95k-120k yearly 60d+ ago
  • .Net Web API Developer

    Oppenheimer & Co. Inc. 4.7company rating

    Oppenheimer & Co. Inc. job in New York, NY

    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 a .NET Web API Developer to join our Information Technology team in our New York office. This individual will be responsible for designing, developing, testing, and maintaining server-side logic and APIs for our suite of financial applications. This role involves collaborating closely with front-end developers, database administrators, and business analysts to translate business requirements into efficient, secure, and reliable software solutions. This individual will work on enhancing existing systems, developing new features, and ensuring seamless integration between various platforms. Expertise in managing and interacting with Sybase, SQL Server, and MongoDB databases is crucial for this position. Responsibilities: Design, develop, and maintain high-performance and scalable .NET Web APIs using C# and the .NET Framework/.NET Core Collaborate with cross-functional teams to define, design, and ship new features for financial applications Develop robust data access layers and integrate APIs with multiple database systems, including Sybase, SQL Server, and MongoDB Write clean, maintainable, and efficient code following best practices and established coding standards Implement unit testing, integration testing, and performance testing to ensure code quality and application stability Troubleshoot, debug, and resolve software defects and production issues in a timely manner Participate in code reviews to maintain code quality, share knowledge, and ensure compliance with project standards Manage API versioning, documentation (e.g., using Swagger/OpenAPI), and deployment processes Stay up-to-date with emerging technologies and industry trends to continuously improve development practices and application performance Apply specific knowledge of financial systems and business processes to improve application functionality and reliability, preferred Skills/Requirements Experience: Minimum of 5+ years of professional experience in .NET web development, specifically with .NET Web API, C#, and the .NET Framework/.NET Core Proven experience working with and managing data in Sybase databases (Sybase ASE/IQ), preferred Extensive experience with SQL Server database design, T-SQL programming, and performance tuning Hands-on experience with MongoDB (or other NoSQL databases), including data modeling and query optimization Experience with front-end technologies (e.g., JavaScript, Angular/React) is a plu Technical Skills: Proficiency in building RESTful APIs and microservices architecture Strong understanding of object-oriented programming (OOP) principles and design patterns Experience with version control systems, preferably Git and Azure DevOps Server Soft Skills: Strong analytical and problem-solving skills Excellent communication and collaboration abilities Ability to work independently and as part of a team in a fast-paced environment Detail-oriented and committed to producing high-quality work Preferred Qualification: Prior experience in the finance industry or working on financial software applications 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 $110,000.00 - $130,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
    $110k-130k yearly 6d ago
  • Investment Banking Vice President - Industrial Growth Products

    William Blair 4.9company rating

    New York, NY job

    Solutions for Today's Challenges. Vision for Tomorrow's Opportunities. Join William Blair, the Premier Global Partnership. Assist in targeting and closing of new deals. Participate in selling and pitching. Drive day-to-day activities for presentation development. Execute in-depth analyses for complex and high impact new business development, transaction execution and the delivery of investment banking products and services. Provide direction on financial/valuation analyses to less experienced staff and serve as a sounding board for structuring complex deals. Build relationships with client senior executives. Review the work of associates and analysts. Provide motivation and guidance. Responsibilities include but may not be limited to: Assist in the targeting and closing of new deal opportunities. Participate in selling/pitching William Blair's services/products to clients and prospects, leveraging understanding of macro trends and strategic direction of clients to win business. Drive day to day activities for presentation development. Suggest methods for positioning William Blair's advantages versus competitors. Build and maintain relationships with client senior executives. Consistently exceed client expectations. Assume role of day-to-day client contact for questions, comments, inputs and deal related matters. Provide direction on financial/valuation analyses approach for valuing debt and equity. Serve as a sounding board for unique and creative approaches for analyses. Execute extensive financial/ valuation analyses for complex and high impact deals. Leverage expertise of products, industries, and finance/accounting topics to develop key themes for positioning of research/analytic deliverables. Suggest innovative approaches for due diligence, research and analysis efforts. Anticipate and address needs of senior team members and proactively identify probable deal issues, providing thoughts and perspective on resolution. Review all analyst and associate work for consistency, correctness and formatting, taking responsibility for client materials and reports. Offer creative and insightful resolution to issues or problems arising in execution and origination. Provide thought leadership to streamline processes and improve efficiency and effectiveness. Provide ongoing guidance and spot corrections to improve team efficiency. Act as lead “on the job” trainer for associates and analysts, providing constructive feedback. Articulate the roles and objectives for junior team members. Share relevant deal/client context with the junior team. Provide motivation and guidance for the team. Actively participate in recruiting and training activities. Ensure all activities are in compliance with applicable rules, regulations, policies and procedures. Additional responsibilities as requested. Qualifications: Bachelor's Degree required Prior investment banking experience required; 4+ years experience, with 1 being at the Vice President, strongly preferred SIE Exam, Series 79, and Series 63 must be acquired within 150 days of employment Detail oriented with deep analytical abilities Superior mathematical, writing, verbal and computer skills Ability to adapt to new tasks with little notice Ability to manage expectations of senior bankers while working on multiple projects simultaneously Effective leadership and coaching skills Ability to lead transaction processes and pitch new business with moderate senior banker oversite Strong desire to win Sound judgement Remains calm and focused under pressure Demonstrates respect for individuals Expertise in accounting and finance Exhibits creativity and originality in approach to analysis and work product Commitment to satisfying internal and external customers Travel required: 20 to 40% #LI-MW1 A reasonable estimate of the current base salary range at time of posting is below. Base salary does not include other forms of compensation or benefits. Actual base salary within the specified range is based on several factors, including but not limited to applicant's skills, prior relevant experience, specific degrees and certifications, job responsibilities, market considerations and, if applicable, the location of the position. This role is eligible for either a discretionary annual bonus (based on company, business unit and individual performance) and/or commission-based incentives. Our featured benefit offerings include medical, dental and vision coverage, employer paid short & long-term disability and life insurance, 401(k), profit sharing, paid time off, Maven family & fertility benefit, parental leave (including adoption, surrogacy, and foster placement), as well as other voluntary benefits. Salary Range$275,000-$275,000 USD About Our Firm William Blair strives to attract qualified candidates who specialize in investment banking, investment management, private wealth management, and other strategic resource groups. We are committed to empowering our colleagues to deliver client success and engage in our communities. Our firm has delivered trusted advice for nine decades, continuing to deepen our expertise and relationships across asset classes and markets throughout North America, Europe, Asia, and Australia. We provide advisory services, strategies, and solutions to meet clients' evolving needs amid dynamic market conditions and varying industries. What sets us apart is that we are an independent partnership, with colleagues who have unique experiences, perspectives, and backgrounds. We empower our people to bring their best thinking so we can deliver the tailored, thoughtful work and problem-solving abilities that our clients expect. We invite you to learn more about us by visiting williamblair.com. William Blair is an equal opportunity employer. It complies with all laws and regulations that prohibit discrimination in employment practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from the military service or on the basis of a physical or mental disability that is unrelated to the employee's ability to perform the duties of the job applied for. EOE m/f/d/v Be aware of hiring scams: William Blair has clear processes and guidelines with regards to recruiting. We do not request personal financial information in connection with an employment application nor does William Blair extend any employment offers without first conducting an interview through one of its registered offices. William Blair does not use instant messaging services such as WhatsApp, Telegram, or iMessage as part of the recruiting or interviewing process. Note to External Recruiters / Search Firms: William Blair does not accept unsolicited resumes and will not pay for any placement resulting from the receipt of an unsolicited resume. Any unsolicited resumes received will not be considered as a valid submission. Download William Blair's privacy policies for job applicants: California Consumer Privacy Act Privacy Notice (CCPA) General Data Protection Regulation Privacy Notice (GDPR) Contact us should you have any questions or concerns.
    $275k-275k yearly Auto-Apply 30d ago
  • Compliance Surveillance Analyst

    Oppenheimer & Co. Inc. 4.7company rating

    Oppenheimer & Co. Inc. job in New York, NY

    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.
    $60k-80k yearly 6d ago
  • Vice President Senior Software Engineer

    Cantor Fitzgerald 4.8company rating

    New York, NY job

    Job Title: Senior Software Developer Cantor Fitzgerald L.P., with over 14,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor Fitzgerald & Co. is a preeminent investment bank serving more than 5,000 institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC underwriting, PIPE placements, commercial real estate, and for its global distribution platform. Capitalizing on the firm's financial acumen and technology prowess, Cantor's portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. For 79 years, Cantor has consistently fueled the growth of original ideas, pioneered new markets, and provided superior service to clients. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations around the world. As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and solid relationship building. Our structure allows us to respond quickly to client needs, develop solutions that address complex challenges, avoid the limitations of bureaucracy, and attract talented individuals who are driven to succeed. Job Description: Highly skilled Senior Software Developer with expertise in Java, Spring Framework, and SQL to join our dynamic development team. This role involves designing, developing, and optimizing scalable applications, working in a collaborative Agile environment, and ensuring high-quality code standards. Candidates who have worked for Equities Swaps Or Prime Brokerage domain would be preferable. Responsibilities: • Design, develop, and maintain high-performance backend services using Java and Spring Framework. • Implement and manage Spring Cloud-based microservices for scalable distributed systems. • Develop and optimize SQL queries for efficient data management and retrieval. • Knowledge of frontend frameworks like Angular. • Integrate and maintain in-memory caching solutions like Redis to enhance system performance. • Collaborate with cross-functional teams to define, design, and ship new features. • Troubleshoot, identify, and resolve bottlenecks, bugs, and performance issues. • Participate in code reviews, sprint planning, and Agile development processes. • Ensure adherence to best practices, coding standards, and security guidelines. • Mentor junior members of the team Qualifications: • 9+ years of experience in backend development using Java and Spring Framework. • Strong expertise in Spring Boot, Spring Cloud, and Microservices architecture. • Proficiency in SQL and relational databases for data processing and optimization. • Experience with in-memory caching solutions like Redis. • Strong understanding of RESTful API development and integration. • Familiarity with CI/CD pipelines, version control (Git), and Agile methodologies. • Strong analytical, problem-solving, and debugging skills. • Understanding of event-driven architectures and messaging systems. Educational Qualifications: Bachelor's Degree required Hybrid Working - We are currently operating a hybrid model for our shared services employees (including this role). We anticipate continuing these arrangements for the foreseeable future with periodic review. Hybrid for Cantor Fitzgerald & its affiliates across the working week, means three days office based and two days remote. Salary: The expected base salary for this position ranges from $155,000 to $175,000. The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).
    $155k-175k yearly Auto-Apply 60d+ ago
  • Trademarks/Patents/Domain Names Paralegal

    Cantor Fitzgerald 4.8company rating

    New York, NY job

    Job Title: Trademarks/Patents/Domain Names Paralegal Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor Fitzgerald & Co. is a preeminent investment bank serving more than 5,000 institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC underwriting, PIPE placements, commercial real estate, and for its global distribution platform. Capitalizing on the firm's financial acumen and technology prowess, Cantor's portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. For 79 years, Cantor has consistently fueled the growth of original ideas, pioneered new markets, and provided superior service to clients. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations around the world. As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and solid relationship building. Our structure allows us to respond quickly to client needs, develop solutions that address complex challenges, avoid the limitations of bureaucracy, and attract talented individuals who are driven to succeed. Responsibilities: Primarily responsible for trademarks filing and follow up, domain names research, managing trademarks and domain names deadlines, patents maintenance and annuities work Related reporting And other tasks, including interactions with counsel and internal clients. Qualifications: Follow-up and strong Excel and communication skills are critical Successful candidate should be able to act on detailed instructions, be organized and should demonstrate good judgment and ability to maintain confidentiality Familiarity with USPTO trademarks filing interface as well as CPI or other patent docketing and maintenance system is a plus Reports to: Chief Technology and IP Counsel Educational Qualifications: Successful candidates should have a Paralegal Certification, Bachelor's degree or demonstrated relevant work experience. If you are a law school student, you should have completed at least two (2) full years of law school. Salary: $80,000- $100,000 The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).
    $80k-100k yearly Auto-Apply 9d ago

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