Operations Associate – FINRA Series 99 or 24

Posted 5 Days Ago
Be an Early Applicant
Parsippany, NJ
Entry level
Financial Services
The Role
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.
Summary Generated by Built In

Operations Associate – FINRA Series 99 or 24

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 a Series 99 licensed Operations Associate for our growing company. The position will work within our operations department, processing client requests and helping us deliver quality service to our clients. Broad knowledge base of industry standards is a plus, to assist us with processes and procedures.

Opportunity

  • 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.


Qualifications

  • 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

Top Skills

Finra Series 24
Finra Series 99
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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