Search the 5 jobs at Hennion & Walsh

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 Operations Associate will process client requests and ensure the delivery of quality service. Responsibilities include managing daily operational tasks, assisting with issues and errors, collaborating with other departments for improvements, and achieving departmental service levels.

The Compliance Ops Associate will oversee daily workflow and processing procedures, resolve trade settlement issues, implement process improvements, and collaborate with the compliance team to execute supervisory policies. Responsibilities include managing day-to-day operations and assisting with regulatory inquiries and examinations.

The Compliance Ops Associate at Hennion & Walsh will oversee workflow, manage trade settlement issues, enhance compliance procedures, and collaborate with the compliance team to support regulatory inquiries and improve operational efficiencies.

The Compliance Associate will enhance and implement compliance procedures, oversee daily workflow, resolve trade issues, conduct sales and trading surveillance, assist with regulatory inquiries, perform document reviews, and manage workflow within the compliance team.