Operations Associate - FINRA Series 99 or 24

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.OverviewHennion & 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.OpportunityResponsible 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.QualificationsFINRA Series 99 or Series 24 license requiredPrior relevant experience with a Broker Dealer or Investment AdvisorWorking knowledge of FINRA, SEC and other regulatory rules and regulationsSelf-motivated, proactive and able to manage multiple prioritiesStrong attention to detailStrong communication and organizational skillsStrong work ethic and hands-on approachBenefitsCompetitive compensationOpen and supportive team-based environmentFull medical and dental benefits401(k) plan with company match

Created: 2025-01-10