Compliance Ops Associate - FINRA Series 24

Hennion & Walsh, Inc.(25 days ago)

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

About this role

The Compliance Ops Associate supports Hennion & Walsh’s compliance function within a broker-dealer environment, working as part of the compliance team to uphold regulatory standards and firm policies. The role sits at a growing, client-focused firm that emphasizes personal advisor relationships and conservative investment strategies. The position requires strong organizational and analytical abilities and contributes to maintaining regulatory readiness and operational integrity.

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Required Skills

Workflow Oversight
Operational Processing
Problem Resolution
Supervision
Cashiering
Margin Management
Trade Settlement
Error Resolution
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.