Teams at Oppenheimer & Co. Inc.

Review marketing materials for compliance with FINRA and SEC rules, draft disclosures, submit materials to FINRA, and advise advisers on marketing issues.

Support the senior semiconductor equity research analyst by building and maintaining financial models, producing company and industry research reports, organizing industry data, and communicating findings to sales, trading, and clients. Require strong modeling, writing, analytical, and client-facing skills.

Review and process KYC submissions for retail and institutional clients; research and validate client ownership structures, update records, manage account restrictions, escalate PEP/adverse media cases, liaise with business units, and provide regulatory guidance to ensure AML/CDD compliance.