Compliance Officer

NewEdge Capital Group LLC; New Orleans (LA); Hybrid; USD 70,000 - 100,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Short-term disability

Long-term disability

Life insurance

PTO

401(k) match

Job summary

NewEdge Capital Group is hiring a Compliance Officer in New Orleans, LA. The role involves supervising advisor practices, ensuring regulatory compliance, and coordinating with the Chief Compliance Officer. Hybrid in-office work with potential remote consideration.

Requirements include 2–3 years in securities compliance, a Bachelor's degree, and a Series 65 license, plus proficiency with MS Office, Orion, and Salesforce. Travel is limited to under 5%.

Qualifications

• 2–3 years of securities industry experience within advisory services.
• Bachelor's Degree required.
• Series 65 license required.
• Proficiency with MS Office, Orion, Orion Compliance (BasisCode), and Salesforce preferred.
• Overnight travel <5% of the time.

Responsibilities

• Perform principal review and supervision of advisor practices.
• Complete required supervision and oversight with data from multiple sources.
• Develop and implement compliance procedures and technology solutions.
• Collaborate with broker-dealers and advisors to resolve issues.
• Assist in maintenance of policies, ADV brochures, and ethics codes.
• Support annual review requirements and escalate issues to the CCO.

Skills

Securities compliance

Supervision

Customer service

Office software

Travel willingness

Education

Bachelor's Degree

Tools

Microsoft Office

Orion

Orion Compliance

Salesforce

Job description

NewEdge Advisors, LLC (“NEA”) is a rapidly growing wealth management firm, made up of independent financial advisors that all share the belief that every client is unique and deserves more than ordinary service. Our mission is to give established advisors more time and resources to focus on their clients and practices. We do this by striving to make our advisors’ challenges our own. Supporting our advisors is our only success.

We provide independent financial advisors support with transitions, compliance, real estate solutions, human resources, marketing solutions and technology so that they can focus their attention where it matters most, their clients. When advisors choose to become independent, many believe that the best way to run their practice efficiently and profitably is through partnership, economies of scale and shared resources. NEA serves this market.

NEA is looking for a skilled Compliance Officer to assist in the compliance management of the firm in executing the principal review and supervision of advisor practices. This position will work with advisors using their understanding of compliance requirements to meet the firm’s obligations while providing support through collaboration and effective execution of the Officer role. The Compliance Officer will report directly to the Deputy Chief Compliance Officer.

Location: New Orleans, LA working hybrid in our office. Remote candidates may be considered.

Responsibilities

• Utilize custodial platforms and firm reporting to complete required supervision and oversight on both NEA advisory platforms and broker-dealer transactions. Analysis of the reporting necessary to implement oversight of the program using data and information from multiple sources.
• Manage and execute compliance operational tasks; research, develop and integrate new procedures and technology for compliance-related efforts.
• Liaise with counterparts at affiliated or friendly broker-dealers providing services and platforms to our advisors.
• Assist in the execution and development of process and procedure utilizing technology solutions to provide effective oversight and escalation of compliance matters.
• Partner with the Chief Compliance Officer (CCO) and Deputy CCO as needed to complete branch consultations.
• Assist CCO and Deputy CCO in the maintenance and updating of required books and records to include policies and procedures, ADV brochures and the code of ethics as may be assigned.
• Perform testing of policies and procedures in support of the annual review requirements of NEA and elevate identified issues to the CCO.
• Partner with management and advisors in addressing compliance questions and concerns through thoughtful dialogue and inquiry to ensure proper advice and counsel is provided when needed.
• Provide exceptional service to your clients – the advisors of NEA. Be an advocate and resource for the advisors and staff of NEA.

Skills/Abilities

• 2-3 years of securities industry experience within organizations providing investment advisory services. A minimum of 2 years should be in the areas of principal supervision or compliance.
• Bachelor's Degree required
• Series 65 license required
• Proficiency with Microsoft Office, Orion, Orion Compliance (BasisCode), and Salesforce is strongly desired.
• Must have the ability for overnight travel on a limited basis (<5% of the time) to perform assigned consultations or to attend industry conference / education events.
• Superior customer service skills in support of the mission of NEA.
• A strong knowledge of securities industry regulatory compliance will be preferred.

About the Organization

Who We Are:

NewEdge Capital Group provides best-in-class technology-enabled solutions and support services to financial advisors and their clients. Comprised of NewEdge Wealth, NewEdge Advisors, and NewEdge Securities, they have over $100 billion in client assets and support over 450+ financial advisors servicing several thousand households, family offices and institutions comprising more than 75,000 client accounts.

What We Offer:

• Compensation will be comprised of a base salary and an opportunity to qualify for bonus(es) or commissions.
• NewEdge Capital Group's benefit package includes health, dental, vision, short-term disability, long-term disability, life insurance, PTO and 401(k) match (after applicable waiting periods).

EOE Statement NewEdge Capital Group, along with its subsidiaries, is an equal opportunity employer and does not unlawfully discriminate against employees or applicants for employment on the basis of an individual’s race, color, religion, creed, sex, sexual orientation, national origin, age, disability, marital status, veteran status or any other status protected by applicable law.