Compliance Analyst, Asset Management & Regulatory Filings
Listed on 2026-10-12
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Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Oppenheimer & Co. Inc. is seeking a Compliance Analyst to join the Compliance team supporting Oppenheimer Asset Management in New York.
The role focuses on testing and monitoring the firm’s compliance program, regulatory filings, policy maintenance, and annual reviews. You will work with business and control functions, assist with SEC submissions, and help address compliance risks. A background in investment advisory regulation and strong written communication are essential; 3–5 years of
We are seeking a motivated Compliance Analyst, Asset Management & Regulatory Filings to join Oppenheimer & Co in New York, NY, United States.
Our team is growing, and we are hiring a Compliance Analyst, Asset Management & Regulatory Filings in New York, NY, United States.
This opportunity is for the Compliance Analyst, Asset Management & Regulatory Filings role at Oppenheimer & Co.
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