This job has expired, please see additional jobs below
Compliance Manager
OppenheimerFunds
New York, NY, United States
Job Details - this job has expired, please see similar jobs below
Company Description
OppenheimerFunds values the talented and diverse workforce we've cultivated over the years. Our nearly 60-year history includes a strong tradition of providing innovative investment ideas and a world-class experience for the individuals, institutions and financial advisors we serve. Our strong foundation is built on collaboration, creativity, and the extraordinary people who play an integral role in our success every day.
Job Description
OppenheimerFunds (“OFI”) is seeking a Compliance Manager to join our team. The ideal candidate will have experience working in Asset Management or Broker Dealer background working in compliance. The candidate will provide compliance support for Marketing, Sales and Investment Adviser affiliate businesses to ensure compliance with the applicable laws, regulations and adherence to firm policy and procedures. The successful candidate will have strong business knowledge and interpersonal skills, be able to work effectively in a team environment and individually with ability to communicate complex issues clearly, concisely and effectively, to the business stake holders.
Responsibilities & Deliverables:
• Serving in key relationship management role with various internal client businesses on behalf of the Compliance organization
• Supporting senior management within Compliance and Legal Departments in addressing key business and regulatory projects
• Performing administration, oversight and monitoring of documented policies and procedures
• Responding to and addressing inquiries from various business units throughout the enterprise
• Preparing metrics and other compliance reports for senior management and the Board of Directors
• Researching and monitoring new and existing legislation
Qualifications
• Four-year degree required. JD or MBA plus
• 5 – 10 years broker-dealer or investment management firm experience, strongly preferred
• Experience overseeing mutual fund wholesaler sales model
• Familiarity with product distribution through third party RIA and Private Bank channels
• Working knowledge of FINRA Rules, Investment Adviser Act and Investment Company Act
• FINRA Series 7 preferred, Series 24 a plus
• Strong communication and analytical skills
• Ability to work independently and meet critical deadlines
• Strong ethical commitment and detail oriented
• Willingness and ability to adjust to multiple demands, shifting priorities, and rapid change
• A high level of proficiency in the complete MS Office suite is required, especially in Excel, Word and PowerPoint
Additional Information
We are a dynamic firm that values teamwork and collaboration, and true to our history, we encourage independent thinking and provide ample opportunities for our people to stand out and make a difference. With offices in New York, Denver, Rochester and Dallas, Seattle, Philadelphia, and London, we work hard to turn our unconventional wisdom into value for investors and pursue excellent results for ourselves and our firm. Learn more about the culture and opportunities at OppenheimerFunds here: https://careers.oppenheimerfunds.com
OppenheimerFunds and its subsidiaries and affiliates provide equal employment opportunity to all qualified individuals without regard to age, color, disability, gender, marital status, national origin, race, religion, sexual orientation, gender identity and expression, physical or mental disability, genetic predisposition or carrier status, veteran status, or any other characteristic protected by law in all employment functions including recruitment, evaluation, selection, promotion, compensation, benefits, training, and termination of employment.
All your information will be kept confidential according to EEO guidelines.