- 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.
- 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
- Competitive compensation
- Open and supportive team-based environment
- Full medical and dental benefits
- 401(k) plan with company match
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Hennion & Walsh is an advocate for the individual investor. · Responsible for the daily operational requests. · ...
Parsippany $50,000 - $75,000 (USD) Full time2 weeks ago
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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 ...
Parsippany6 days ago
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· 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 ...
Parsippany, NJ $50,000 - $75,000 (USD) per year1 week ago
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++Hennion & Walsh is an advocate for the individual investor. · ++Responsible for the daily operational requests.Assist with cashiering items,ACATs,,,/ul> ...
Parsippany-Troy Hills, NJ1 month ago
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Hennion & Walsh is an advocate for the individual investor. We believe in putting the client first. · Responsible for the daily oversight of workflow, processing procedures and problem resolution · Supervise and approve operational service and cashiering items, extensions and mar ...
Parsippany $50,000 - $75,000 (USD) Full time2 weeks ago
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· Compliance Ops Associate - FINRA Series 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 pu ...
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Hennion and Walsh is seeking an experienced Compliance Ops Associate for our growing company. · ...
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· Compliance Ops Associate - FINRA Series 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 pu ...
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Mountain Lakes1 week ago
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About This Role · Wells Fargo is seeking a Branch Complex Director in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at . · The Branch Complex Director role will lead branch(es) within a market of Wells F ...
Mountain Lakes, NJ1 week ago
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Why Wells Fargo · Are you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers succeed. We believe that a meaningful career is mu ...
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Operations Associate - FINRA Series 99 or 24 - Parsippany - Hennion & Walsh
Description
Operations Associate - FINRA Series 99 or 24If 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
Placement in the range will vary based on job responsibilities and scope, candidate's relevant experience, and other factors.
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Operations Associate – FINRA Series 99 or 24
Full time Only for registered members Parsippany
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Operations Associate - FINRA Series 99 or 24
Only for registered members Parsippany
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Operations Associate – FINRA Series 99 or 24
Only for registered members Parsippany, NJ
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Operations Associate – FINRA Series 99 or 24
Only for registered members Parsippany-Troy Hills, NJ
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Compliance Ops Associate
Full time Only for registered members Parsippany
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Relationship Banker North West NJ District
Full time Only for registered members Parsippany
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Relationship Banker North West NJ District
Only for registered members Parsippany
-
Compliance Ops Associate
Only for registered members Parsippany, NJ
-
Compliance Ops Associate
Only for registered members Parsippany-Troy Hills, NJ
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Compliance Ops Associate
Only for registered members Parsippany, NJ
-
Internal Sales Desk Associate – Series 7
Only for registered members Parsippany
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Internal Sales Desk Associate – Series 7
Only for registered members Parsippany-Troy Hills, NJ
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Internal Sales Desk Associate – Series 7
Only for registered members Parsippany, NJ
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Client Services Representative
Only for registered members Parsippany
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Vice President, Trading Engineering
Fidelity Investments- Parsippany
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Vice President, Trading Engineering
Full time Fidelity Investments- Parsippany
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Branch Complex Director
Full time Only for registered members Mountain Lakes
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Branch Complex Director
Only for registered members Mountain Lakes
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Branch Complex Director
Only for registered members Mountain Lakes, NJ
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Relationship Banker North West NJ District
Only for registered members Boonton
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Financial Advisor
Only for registered members Mountain Lakes