Search the 3 jobs at Hennion & Walsh

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.

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.