Oppenheimer & Co. Inc. · 4 hours ago
Senior Capital Markets Surveillance Analyst
New York, NY
Full-time
Onsite
Mid, Senior Level
$85K/yr - $100K/yr
5+ years expOppenheimer & Co. Inc. is a leading middle-market investment bank and full service broker-dealer. They are seeking a Senior Capital Markets Surveillance Analyst to perform surveillance reviews of capital markets activity and ensure compliance with internal policies and external regulations.
Financial Services
Responsibilities
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 Firm’s 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 firm’s 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 Group’s manager in special projects
Qualification
Required
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
Bachelor's degree required
Must have at least 5 + years industry experience
Preferred
FINRA registrations: Series 7 & 24
Benefits
Discretionary bonus
Company
Oppenheimer & Co. Inc.
Oppenheimer is a global financial institution offering Wealth Management, Capital Markets, and Investment Banking solutions.
1001-5000 employees
H1B Sponsorship
Oppenheimer & Co. Inc. has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (4)
2024 (7)
2023 (6)
2022 (1)
2021 (6)
2020 (4)
Funding
Current Stage
Public CompanyTotal Funding
unknown1986-09-05IPO
Leadership Team
Craig Schneider
Managing Director - Regional Director
Douglas Siegel
Managing Director, Chief Compliance Officer
Recent News
2025-12-08
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