Compliance Officer: Wealth Management & Advisor Oversight

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 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%.