Hybrid Compliance Officer – Wealth Management

NewEdge Advisors; New Orleans (LA); Hybrid; USD 75,000 - 110,000; Full time

Job summary

NewEdge Advisors, LLC seeks a Compliance Officer in New Orleans, LA with 2–3 years in securities compliance. Hybrid in-office work; remote options may be considered. You will supervise advisor practices, develop procedures, and partner with the CCO to ensure regulatory obligations are met.

The role requires a Series 65, a Bachelor’s degree, and strong knowledge of regulatory compliance. You’ll interact with broker-dealers and support the firm’s advisory platform.

Qualifications

• 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.
• Superior customer service skills in support of the mission of NEA.
• A strong knowledge of securities industry regulatory compliance will be preferred.

Responsibilities

• Utilize custodial platforms and firm reporting to complete required supervision and oversight on both NEA advisory platforms and broker-dealer transactions.
• Management and execution of 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 escalate 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

Securities experience

Compliance knowledge

Customer service

Education

Bachelor’s Degree

Tools

Microsoft Office

Orion

Orion Compliance (BasisCode)

Salesforce

Job description

NewEdge Advisors, LLC seeks a Compliance Officer in New Orleans, LA with 2–3 years in securities compliance. Hybrid in-office work; remote options may be considered. You will supervise advisor practices, develop procedures, and partner with the CCO to ensure regulatory obligations are met.

The role requires a Series 65, a Bachelor’s degree, and strong knowledge of regulatory compliance. You’ll interact with broker-dealers and support the firm’s advisory platform.