Regional Operations Manager (North Carolina)

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

The firm is seeking a Registered Regional Operations Manager to join Private Client Division in our North Carolina Region. This position will report directly to the National Branch Operations Administrator with secondary reporting to the Branch Managers in their region. 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.

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 :