Job summary
Job post source
This job is directly from Hennion & Walsh
Job overview
The Compliance Ops Associate at Hennion & Walsh is responsible for developing and implementing internal compliance procedures, ensuring adherence to regulatory standards, and enhancing operational efficiencies.
Responsibilities and impact
Daily responsibilities include overseeing workflow, resolving trade settlement issues, managing compliance processes, and assisting with regulatory inquiries and exams.
Compensation and benefits
The position offers competitive compensation, full medical and dental benefits, and a 401(k) plan with company match.
Experience and skills
Candidates must hold FINRA Series 7 and Series 24 licenses, possess prior compliance experience with a Broker Dealer or Investment Advisor, and have knowledge of relevant regulatory rules.
Career development
Opportunities for professional growth may include advancement within the compliance team and exposure to various regulatory processes.
Work environment and culture
Hennion & Walsh promotes a supportive team-based environment focused on client advocacy and individual investor relationships.
Company information
Hennion & Walsh is dedicated to serving individual investors by guiding them towards achieving their financial goals through conservative strategies.
Team overview
The compliance team is collaborative and focused on enhancing compliance procedures while ensuring regulatory adherence.
Company overview
Hennion & Walsh, Inc. is a financial services firm specializing in investment management and advisory services, particularly focusing on municipal bonds. Founded in 1990, the company has built a reputation for providing personalized investment strategies tailored to individual client needs. They generate revenue through advisory fees, brokerage services, and asset management. Notable in their history is their commitment to client education and transparency, which has helped them maintain a loyal client base and steady growth over the decades.
How to land this job
Position your resume to highlight your compliance experience, particularly in relation to Broker Dealers or Investment Advisors, emphasizing your knowledge of FINRA and SEC regulations.
Showcase your ability to manage workflows, resolve trade settlement issues, and implement process improvements, as these are key responsibilities of the Compliance Ops Associate role.
Apply through multiple channels, including Hennion & Walsh's corporate site and LinkedIn, to maximize your exposure and increase your chances of landing the position.
Network with individuals in the compliance division at Hennion & Walsh on LinkedIn, using ice breakers like discussing recent industry changes or asking about their experiences with the firm's compliance culture.
Optimize your resume for ATS by incorporating keywords from the job description such as 'compliance procedures,' 'trade reporting,' and 'regulatory inquiries' to ensure it passes initial screenings.
Utilizing Jennie Johnson's Power Apply feature can streamline your application process, helping you tailor your resume, identify the best application channels, and connect with relevant professionals efficiently.
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