Compliance Ops Associate – Finra Series
| Company | Hennion & Walsh |
|---|---|
| Location | Parsippany-Troy Hills, NJ, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | |
| Experience Level | Mid Level |
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
- 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
Responsibilities
- Responsible for the daily oversight of workflow, processing procedures and problem resolution
- Supervise and approve operational service and cashiering items, extensions and margin
- Resolve trade settlement issues and trade errors
- Continually seek out and implement efficiencies and process improvements. Actively analyze problems and implement corrective action.
- Work with clearing firm to resolve service issues, identify processing gaps and systemic issues.
- Work with compliance team to execute firm’s supervisory policies and procedures.
- Assist with regulatory inquiries and exams, including document and data retrieval.
- Perform periodic enhanced reviews, specifically related to trade reporting.
- Manage day to day workflow and meet department service levels goals.
Preferred Qualifications
-
No preferred qualifications provided.