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

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Are you aware the position is located in Parsippany, NJ? *

Are you legally allowed to work in the United States? *

Do you speak fluent English? *

Do you have at least a Bachelor's Degree? *

Do you have FINRA Series 24 license? *

Do you have FINRA Series 99 license? *

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