Remote Compliance Coordinator & Advisor Support

NewEdge Capital Group LLC; New Orleans (LA); Híbrido; USD 55.000 - 75.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health insurance

Dental insurance

Vision insurance

Disability insurance

Life insurance

Paid time off

Parental leave

401(k) match

Descripción de la vacante

NewEdge Capital Group LLC seeks a Compliance Coordinator to support the compliance team in day-to-day administrative tasks. The role involves Salesforce case management, calendar coordination, and generating officer-facing reports while ensuring timely responses.

Location is New Orleans, with remote options considered. The ideal candidate has 1–2 years in securities, a 4-year degree preferred, and familiarity with Orion Compliance and SMARSH.

Formación

• 4-year Bachelor’s Degree preferred.
• 1-2 years of securities industry experience preferred.
• Series 65 preferred but not required.

Responsabilidades

• Monitor and manage Salesforce case management system; assign cases to subject matter expert, escalate time sensitive items, ensure completion, manage responses outside the system.
• Phone management; first point of contact for incoming calls, transfer calls, take messages, answer questions as needed.
• Compliance Team Meeting: use notes template, assist as primary note taker, follow up on action items, deadlines, notices.
• Assist the team with running reports for officer review.
• Set up new advisors and staff in Orion Compliance; establish connections in email archiving SMARSH; monitor inactive status and re-link communications.
• Schedule meetings for advisor training, departmental meetings, manager meetings, etc.
• Assist in reviews of verbal verification process and mandatory training, rollover analysis, etc.
• Collaborate with management and advisors to address compliance questions with thoughtful dialogue and guidance.

Conocimientos

Customer service

Microsoft Office

Salesforce

Orion Compliance

SMARSH

Salesforce administration

Educación

Bachelor's degree preferred

Herramientas

Salesforce

Orion Compliance (BasisCode)

SMARSH

Microsoft Office

Descripción del empleo

NewEdge Capital Group LLC seeks a Compliance Coordinator to support the compliance team in day-to-day administrative tasks. The role involves Salesforce case management, calendar coordination, and generating officer-facing reports while ensuring timely responses.

Location is New Orleans, with remote options considered. The ideal candidate has 1–2 years in securities, a 4-year degree preferred, and familiarity with Orion Compliance and SMARSH.