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Compliance Associate

2 months ago

New York, New York, United States Hennion & Walsh Full time
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