Compliance Associate

Posted 8 Days Ago
Be an Early Applicant
New York, NY
1-3 Years Experience
Financial Services
The Role
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.
Summary Generated by Built In

Compliance 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.

Overview

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 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 process and procedures. The position will work with our compliance team to help execute the firm’s compliance program.

Opportunity

  • Responsible for the daily oversight of workflow, processing procedures and problem resolution
  • Resolve trade settlement issues and trade errors
  • Continually seek out and implement efficiencies and process improvements. Actively analyze problems and implement corrective action.
  • Conduct surveillance of Fixed Income Sales and Trading across the organization.
  • Assist with regulatory inquires and exams, including document and data retrieval.
  • Perform correspondence and advertising review
  • Perform periodic enhanced reviews, specifically related to trade reporting.
  • Review and provide guidance on sales practice matters.
  • Manage day-to-day workflow and meet department service levels goals.


Qualifications

  • 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


Benefits

  • Competitive compensation
  • Open and supportive team-based environment
  • Full medical and dental benefits
  • 401(k) plan with company match
The Company
HQ: Parsippany, NJ
92 Employees
On-site Workplace
Year Founded: 1990

What We Do

Hennion & Walsh was founded in 1990 with a single goal in mind: to become the nation’s premier provider of investment services and advocate for individual investors. As such, our disciplined, personalized approach has helped thousands of individuals grow and protect their investments. Hennion & Walsh’s heritage is being one of the nation’s leading independent specialists in municipal bonds for individual investors, but we offer a full suite of equity and fixed-income products and services including wealth management.

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