Compliance Operations Specialist
5 days ago
Job Summary
">Hennion & Walsh, Inc. is an advocate for individual investors, guiding them to achieve their financial goals and dreams through conservative income and growth strategies.
">We are seeking an experienced Compliance Operations Associate to join our growing company. This role will develop, enhance, and implement internal compliance procedures while working collaboratively with our compliance team to execute the firm's compliance program.
">Key Responsibilities
">- ">
- Oversee daily workflow, processing procedures, and problem resolution">
- Supervise and approve operational services and cashiering items, extensions, and margin">
- Resolve trade settlement issues and trade errors">
- Analyze problems, implement corrective action, and continually seek out efficiencies and process improvements">
- Work with clearing firms to resolve service issues, identify processing gaps, and systemic issues">
- Collaborate with the compliance team to execute supervisory policies and procedures">
- Assist with regulatory inquiries and exams, including document and data retrieval">
- Perform periodic enhanced reviews related to trade reporting">
- Manage day-to-day workflow and meet departmental service level goals">
Requirements
">- ">
- 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, communication, and organizational skills">
- Ability to multi-task, prioritize, and exhibit a professional demeanor in a fast-paced environment">
Benefits
">- ">
- Competitive compensation package">
- Open and supportive team-based environment">
- Full medical and dental benefits">
- 401(k) plan with company match">
The estimated salary range for this position is $60,000 - $80,000 per year, depending on experience and qualifications.
">This role offers a unique opportunity to work in a vibrant and growing company that values its clients and employees. If you are a motivated and organized individual looking to make a meaningful impact, we encourage you to apply.
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