Search the 7 jobs at Hennion & Walsh

The Compliance Associate will develop and implement internal compliance procedures, oversee daily workflow, resolve trade issues, conduct surveillance, assist with regulatory inquiries, and provide guidance on sales practice matters. The role requires strong organizational skills and the ability to improve processes.

As a Wealth Management Associate at Hennion & Walsh, you will cultivate client relationships, support lead advisors, prepare for meetings, manage client portfolios, communicate market updates, and enhance business opportunities while adhering to operating procedures.

The Operations Associate will process client requests and ensure the delivery of quality service. Responsibilities include managing daily operational tasks, assisting with issues and errors, collaborating with other departments for improvements, and achieving departmental service levels.

The Investment Associate role involves participating in an 18-month financial services career development program. Associates will study for licensing exams while gaining knowledge and skills necessary to succeed as financial advisors. Hennion & Walsh offers ongoing training and support for career growth in investment services.

The Compliance Ops Associate will oversee daily workflow and processing procedures, resolve trade settlement issues, implement process improvements, and collaborate with the compliance team to execute supervisory policies. Responsibilities include managing day-to-day operations and assisting with regulatory inquiries and examinations.

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 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.