The Compliance Ops Associate will oversee daily workflow, improve internal compliance processes, resolve operational issues, and assist with regulatory inquiries. Responsibilities also include managing trade settlement and implementing process efficiencies within the compliance team.

As an Investment Associate at Hennion & Walsh, you will participate in an 18-month career development program to become a licensed financial advisor. You will receive training and support while preparing for licensing exams, and upon passing, you will learn the necessary skills to assist individual investors in achieving their financial goals.

As an Investment Associate, you will enter an 18-month career development program, preparing for licensure as a financial advisor while receiving support and training to succeed in various roles within the firm.

As an Investment Associate at Hennion & Walsh, you will participate in an 18-month career development program to become a licensed financial advisor, receiving ongoing training and support while building a long-term career. The role focuses on helping individual investors achieve their financial goals through guidance and personal relationships.

The Compliance Ops Associate will oversee daily workflow and compliance procedures, resolve trade settlement issues, improve operational efficiencies, manage document retrieval for regulatory inquiries, and supervise the execution of the firm’s supervisory policies.

The Operations Associate will handle daily operational requests, assist with cashiering items and trade errors, and work towards process improvements within the department to provide quality service to clients.

The Wealth Management Associate cultivates client relationships, supports lead advisors, manages client reviews, and communicates market updates to clients. They assist with client inquiries, develop relationships, and ensure proper execution of financial tasks and documentation in a fast-paced environment.

The Compliance Associate will develop, enhance, and implement internal compliance procedures, oversee daily workflow, resolve trade settlement issues, conduct surveillance on trading activities, assist with regulatory inquiries, review sales practices, and manage department goals.

The Compliance Associate will develop and implement internal compliance procedures, oversee daily workflow, resolve trade issues, conduct surveillance, assist with regulatory inquiries, and provide guidance on sales practice matters. The role requires strong organizational skills and the ability to improve processes.