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.

Overview

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.

Opportunity

• 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.

Qualifications

• 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

Benefits

• Competitive compensation
• Open and supportive team-based environment
• Full medical and dental benefits
• 401(k) plan with company match