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Compliance Ops Associate (Boca Raton, FL Location)
If you are a highly motivated individual and looking to join a vibrant growing company, Hennion & Walsh, Inc. may be the right choice for you.
Hennion & Walsh is an advocate for the individual investor. We believe in putting the client first. At Hennion & Walsh, we know individual investors want a personal relationship with their advisor, and we believe in guiding our clients to achieve their financial goals and dreams through conservative income and growth strategies.
Hennion & Walsh is seeking an experienced Compliance Ops Associate for our growing company. The position will work to develop, enhance and implement internal compliance procedures and must be team-oriented and organized. Broad-based product and service area knowledge needed to improve processes and procedures. The position will work with our compliance team to help execute the firm’s compliance program.
- Responsible for the daily oversight of workflow, processing procedures and problem resolution
- Supervise and approve operational service and cashiering items, extensions and margin
- Resolve trade settlement issues and trade errors
- Continually seek out and implement efficiencies and process improvements. Actively analyze problems and implement corrective action.
- Work with clearing firm to resolve service issues, identify processing gaps and systemic issues.
- Work with compliance team to execute firm’s supervisory policies and procedures.
- Assist with regulatory inquires and exams, including document and data retrieval.
- Perform periodic enhanced reviews, specifically related to trade reporting.
- Manage day to day workflow and meet department service levels goals.
- FINRA Series 7 and Series 24 licenses required
- Prior relevant compliance experience with a Broker-Dealer or Investment Advisor
- Knowledge of FINRA, SEC and other regulatory rules and regulations
- Self-motivated, proactive and able to manage multiple priorities
- Strong attention to detail
- Strong communication and organizational skills
- Strong work ethic and hands-on approach
- Ability to multi-task and prioritize
- Ability to exhibit professional demeanor in fast-paced environment
- Competitive compensation
- Open and supportive team-based environment
- Full medical and dental benefits
- 401(k) plan with company match