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 Firm’s business lines and support functions—including brokerage operations, trading, supervisory processes, investment advisory and asset management—to 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:

• Bachelor’s 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.