Operations Associate – FINRA Series 99 or 24

Hennion & Walsh
Parsippany, NJ
Category Finance
Job Description
Hennion & Walsh is seeking a motivated Operations Associate for their growing company. The role involves processing client requests, assisting with cashiering and ACATs, and supporting operations improvements. The position focuses on providing personalized service and guiding clients towards financial success.

Requirements

  • FINRA Series 99 or Series 24 license
  • Prior experience with Broker Dealer or Investment Advisor
  • Working knowledge of FINRA, SEC and other regulatory rules
  • 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
  • Working in-person

Benefits

  • Competitive compensation
  • Full medical and dental benefits
  • 401(k) plan with company match
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