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Hennion & Walsh · 1 day ago

Compliance Ops Associate - FINRA Series 24

Parsippany, NJ

Full-time

Onsite

New Grad, Entry Level

$50K/yr - $75K/yr

Hennion & Walsh is an advocate for the individual investor, dedicated to guiding clients towards achieving their financial goals. They are seeking an experienced Compliance Ops Associate to develop and implement internal compliance procedures while working closely with the compliance team to execute the firm’s compliance program.

CrowdfundingInsurance

Responsibilities

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

Qualification

FINRA Series 24Compliance experienceRegulationsCommunicationOrganizational skillsMulti-taskingProfessional demeanorSelf-motivatedAttention to detailWork ethic