Compliance Ops Associate - FINRA Series 24
Hennion & Walsh, Inc.
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.
Skills
Qualifications
About Hennion & Walsh, Inc.
hennionandwalshcareers.comHennion & Walsh, Inc. is a financial services firm providing wealth management, investment advisory, and broker-dealer services. The company supports financial professionals and clients with investment solutions, practice support, and a client-focused approach.
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About Hennion & Walsh, Inc.
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
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Salary
$50k – $75k
per year