Wealth Management Compliance Lead

NewEdge Advisors; Northern (KY); Remote; USD 80,000 - 100,000; Full time

Job summary

NewEdge Advisors, LLC is seeking a Compliance Officer to lead principal review and supervision of advisor practices. The role reports to the Deputy Chief Compliance Officer and requires experience in securities regulation and advisory services.

You will oversee compliance operations, coordinate with broker-dealers, and help implement procedures with technology. This position demands strong service orientation and occasional overnight travel.

Qualifications

• 2–3 years in securities industry with advisory services.
• At least 2 years in principal supervision or compliance.
• Bachelor’s degree required.
• Series 65 license required.
• Proficiency with MS Office, Orion, Orion Compliance, Salesforce desired.
• Ability for overnight travel on a limited basis.
• Strong customer service skills.

Responsibilities

• Utilize custodial platforms and firm reporting to complete required supervision and oversight on NEA advisory platforms and broker-dealer transactions.
• Manage and execute compliance operational tasks; research, develop and integrate new procedures and technology for compliance-related efforts.
• Liaise with counterparts at affiliated 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 escalat e 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 industry experience

Principal supervision/compliance

Customer service

Overnight travel

Regulatory knowledge

Education

Bachelor’s Degree

Tools

Microsoft Office

Orion

Orion Compliance (BasisCode)

Salesforce

Job description

NewEdge Advisors, LLC is seeking a Compliance Officer to lead principal review and supervision of advisor practices. The role reports to the Deputy Chief Compliance Officer and requires experience in securities regulation and advisory services.

You will oversee compliance operations, coordinate with broker-dealers, and help implement procedures with technology. This position demands strong service orientation and occasional overnight travel.