Search the 5 jobs at Hennion & Walsh

The Compliance Ops Associate at Hennion & Walsh will oversee workflow, manage trade settlement issues, enhance compliance procedures, and collaborate with the compliance team to support regulatory inquiries and improve operational efficiencies.

The Operations Associate will process client requests, assist in cashiering items, manage workflow, and help implement efficiencies in the operations department while ensuring quality service to clients.

The Compliance Ops Associate will oversee daily workflows, resolve trade settlement issues, ensure adherence to compliance procedures, assist with regulatory inquiries, and improve operational efficiencies. They will also manage the processing of operational and cashiering items while working closely with the compliance team.

The Compliance Associate will enhance and implement compliance procedures, oversee daily workflow, resolve trade issues, conduct sales and trading surveillance, assist with regulatory inquiries, perform document reviews, and manage workflow within the compliance team.

The Compliance Associate will develop and implement internal compliance procedures, oversee workflow and processing, resolve trade settlement issues, analyze problems, assist with regulatory inquiries, and review sales practices. They will manage daily operations while ensuring compliance with relevant regulations.