Compliance Ops Associate - FINRA Series 24

Hennion & Walsh, Inc.(8 days ago)

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

About this role

A Compliance Ops Associate at Hennion & Walsh supports the firm’s compliance program by developing and implementing internal compliance procedures and working closely with the compliance team. The role sits at the intersection of compliance and operations within a broker-dealer focused on serving individual investors and requires broad product and service knowledge. It is part of a growing, client-focused firm that emphasizes conservative investment strategies and personal advisor-client relationships.

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Required Skills

Compliance
Trade Reporting
Cashiering
Margin
Regulatory Knowledge
Process Improvement
Problem Resolution
Clearing Liaison
Supervision
Organization

+4 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.