Remote Compliance Coordinator - Wealth Management

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

Ventajas ofrecidas por este puesto de trabajo

Bonus program eligibility

Descripción de la vacante

NewEdge Advisors, LLC (NEA) is seeking a skilled Compliance Coordinator to assist the compliance department with day-to-day workflow and coordination. The role reports to the Deputy Chief Compliance Officer and supports our independent advisor network.

Location is New Orleans, LA, with candidates from remote locations considered. Responsibilities include case management, reporting, onboarding new staff, and maintaining compliance processes.

Formación

• 4-year Bachelor’s Degree preferred.
• 1-2 years of securities industry experience preferred.
• Series 65 preferred but not required.
• Proficiency with Microsoft Office, Orion, Orion Compliance (BasisCode), SMARSH, and Salesforce is strongly desired.
• Superior customer service skills in support of NEA’s mission.
• Knowledge of securities industry operations will be preferred.

Responsabilidades

• Monitor Salesforce case management; assign cases to experts and escalate time sensitive items.
• Handle phone management; serve as first contact and route calls to officers.
• Notetake compliance team meetings and follow up on actions and deadlines.
• Assist with running reports for officer review.
• Set up new advisors and staff in Orion Compliance.
• Manage email archiving setup in SMARSH and monitor inactive status reports.
• Schedule advisor trainings and departmental meetings.
• Support reviews of verification processes and mandatory training.
• Collaborate with management and advisors to address compliance questions.
• Provide exceptional service to NEA advisors and staff.

Conocimientos

Customer service

Compliance knowledge

Team coordination

Communication skills

Educación

Bachelor's degree

Herramientas

Microsoft Office

Salesforce

Orion Compliance (BasisCode)

SMARSH

Orion

Descripción del empleo

NewEdge Advisors, LLC (NEA) is seeking a skilled Compliance Coordinator to assist the compliance department with day-to-day workflow and coordination. The role reports to the Deputy Chief Compliance Officer and supports our independent advisor network.

Location is New Orleans, LA, with candidates from remote locations considered. Responsibilities include case management, reporting, onboarding new staff, and maintaining compliance processes.