Compliance Ops Associate - FINRA Series 24

Hennion & Walsh, Inc.(1 month ago)

Parsippany, NJOnsiteFull TimeMedior$50,000 - $75,000Compliance

About this role

The Compliance Ops Associate at Hennion & Walsh supports the firm’s compliance program by developing, enhancing, and implementing internal compliance procedures. The role works closely with the compliance team and clearing firms, assists with regulatory inquiries and exams, and helps manage day-to-day operational and supervisory activities. The position emphasizes improving processes, ensuring regulatory adherence, and maintaining service level goals.

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Required Skills

Workflow Oversight
Processing
Problem Resolution
Supervision
Cashiering
Margin Management
Trade Settlement
Trade Errors
Process Improvement
Issue Analysis

+10 more

Qualifications

FINRA Series 7
FINRA Series 24

About Hennion & Walsh, Inc.

hennionandwalshcareers.com

Hennion & Walsh is a real estate services firm that specializes in multifamily investment sales, asset advisory, and capital markets solutions for owners, investors, and developers. The company combines market research, deal execution, and asset-management expertise to help clients buy, sell, and optimize apartment and residential investment properties. Hennion & Walsh emphasizes a collaborative culture built on integrity and shared values, and recruits professionals who deliver client-focused, data-driven results.