Compliance Ops Associate - FINRA Series 24 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 Ops 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 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 inquires 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. 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 Hennion & Walsh
...JOB SUMMARY: The Talent Acquisition/Recruiter I is responsible for the entire recruitment life cycle. This role will oversee inbound... ...to meet or come in below the budget. Analyzes current staffing agency agreements and develops required contract terms to implement...
...We believe everyone deserves access to affordable and simple legal services. Founded in 2008, Rocket Lawyer is the largest and most... ...Rocket Lawyer is seeking a detail-oriented and driven Performance Marketing Intern to join our team. This role offers an exciting...
...committed to connecting great companies with great employees and opening up opportunities for both by providing the highest quality of outsourced employment and human resources. Company Description Employee Force Provider want to help employees build a workforce that...
...Responsibilities: Manages distribution center associates in day-to-day tasks with the inbound and outbound processes of receiving, order fulfillment, and shipping. Ensures the overall Safety, Quality, and Productivity of distribution center associates. Manages multiple...
Additional Information Pro Shop Job Number 25047470 Job Category Retail & Gift Shops Location Toftrees Golf Resort, 1 Country Club Lane, State College, Pennsylvania, United States, 16803 VIEW ON MAP Schedule Part Time Located Remotely? N Position Type...