Compliance Ops Associate

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

Join Hennion & Walsh's growing firm. Build a successful and rewarding career with us. Submit a resume online or call one of our HR Recruiters at 800-836-8240 today.

Hennion & Walsh, Inc. is an equal opportunity employer.