Compliance Ops Associate - FINRA Series 24

Hennion & Walsh
Parsippany, NJ
Category Finance
Job Description
Hennion & Walsh, Inc. is seeking an experienced Compliance Ops Associate to join their growing company. The role focuses on developing, enhancing, and implementing internal compliance procedures, with a focus on client relationship and achieving financial goals. It involves close collaboration with the compliance team and direct oversight of workflow processing, trade settlement, and regulatory inquiries.

Requirements

  • FINRA Series 7 and Series 24 licenses required
  • Prior relevant compliance experience
  • Knowledge of FINRA, SEC and other regulatory rules and regulations
  • Self-motivated, proactive
  • Strong attention to detail
  • Strong communication and organizational skills
  • Strong work ethic
  • Ability to multi-task and prioritize
  • Professional demeanor in a fast-paced environment

Benefits

  • Competitive compensation
  • Open and supportive team-based environment
  • Full medical and dental benefits
  • 401(k) plan with company match
  • Health benefits
  • Paid time off
]]>