Hennion & Walsh · 2 weeks ago
Operations Associate – FINRA Series 99 or 24
Parsippany, NJ
Full-time
Onsite
New Grad, Entry Level
$50K/yr - $75K/yrHennion & Walsh, Inc. is an advocate for the individual investor, focusing on guiding clients to achieve their financial goals. They are seeking a Series 99 licensed Operations Associate to process client requests and deliver quality service within their operations department.
CrowdfundingInsurance
Responsibilities
Responsible for the daily operational requests
Assist with cashiering items, ACATs, extensions
Assist supervisor with issues and trade errors
Work with other departments to help implement efficiencies and process improvements
Manage day to day workflow and meet department service levels goals
Qualification
Required
FINRA Series 99 or Series 24 license required
Prior relevant experience with a Broker Dealer or Investment Advisor
Working 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
Benefits
Competitive compensation
Open and supportive team-based environment
Full medical and dental benefits
401(k) plan with company match
Company
Hennion & Walsh
Hennion & Walsh is a New Jersey-based provider of investment services and advocate for individual investors.
Founded in 1990
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Debbie Hoffmann
CFO
Kevin Mahn
President & Chief Investment Officer - Hennion & Walsh Asset Management
Recent News
2025-09-12
Company data provided by crunchbase