Compliance Ops Associate - FINRA Series 24

Hennion & Walsh, Inc.(1 month ago)

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

About this role

A Compliance Ops Associate at Hennion & Walsh helps develop, enhance, and implement the firm’s internal compliance procedures while supporting the execution of the compliance program. The role supports regulatory readiness, assists with exams and inquiries, and contributes to operational oversight within a broker-dealer environment. This position is team-oriented, organized, and requires in-person attendance.

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Required Skills

Workflow Oversight
Processing Procedures
Problem Resolution
Operational Supervision
Cashiering
Margin Approval
Trade Settlement
Trade Error
Process Improvement
Clearing Liaison

+8 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.