Operations Associate – FINRA Series 99 or 24

Operations Associate – FINRA Series 99 or 24

If you are a highly motivated individual and looking to join a vibrant growing company, Hennion & Walsh, Inc. may be the right choice for you.

Overview

Hennion & Walsh is an advocate for the individual investor. We believe in putting the client first. At Hennion & Walsh, we know individual investors want a personal relationship with their advisor, and we believe in guiding our clients to achieve their financial goals and dreams through conservative income and growth strategies.

Hennion & Walsh is seeking a Series 99 licensed Operations Associate for our growing company. The position will work within our operations department, processing client requests and helping us deliver quality service to our clients. Broad knowledge base of industry standards is a plus, to assist us with processes and procedures.

Opportunity

• Responsible for the daily operational requests.
• Assist with cashiering items, ACATs, extensions.
• Assist supervisor with issues and trade errors.
• Work with other departments to help implement efficiencies and process improvements.
• Manage day to day workflow and meet department service levels goals.

 

Qualifications

• FINRA Series 99 or Series 24 license required
• Prior relevant experience with a Broker Dealer or Investment Advisor
• Working knowledge of FINRA, SEC and other regulatory rules and regulations
• Self-motivated, proactive and able to manage multiple priorities
• Strong attention to detail
• Strong communication and organizational skills
• Strong work ethic and hands-on approach

 

Benefits

• Competitive compensation
• Open and supportive team-based environment
• Full medical and dental benefits
• 401(k) plan with company match

 

The base salary range for this position is $50,000-75,000 per year.  Please note this role requires in-person attendance.

Placement in the range will vary based on job responsibilities and scope, candidate’s relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the position may also include other variable compensation and benefits including health benefits, 401(k) plan and paid time off.