Compliance Coordinator

Job Summary

NewEdge Advisors, LLC (“NEA”) is a rapidly growing wealth management firm, made up of independent financial advisors that all share the belief that every client is unique and deserves more than ordinary service. Our mission is to give established advisors more time and resources to focus on their clients and practices. We do this by striving to make our advisors’ challenges our own. Supporting our advisors is our only success.

We provide independent financial advisors support with transitions, compliance, real estate solutions, human resources, marketing solutions and technology so that they can focus their attention where it matters most, their clients. When advisors choose to become independent, many believe that the best way to run their practice efficiently and profitably is through partnership, economies of scale and shared resources. NEA serves this market.

NEA is looking for a skilled Compliance Coordinator to assist the compliance department of the firm in coordinating the day to day administrative and workflow items of the team. This position will work with the compliance team members to help keep the team organized, on track, and providing workload balance. The Compliance Coordinator will report directly to the Deputy Chief Compliance Officer.

Location: New Orleans, LA candidates preferred, but remote candidates will be considered. 

Responsibilities

• Monitor and manage our Salesforce case management system; assign case to subject matter expert, escalate time sensitive and complex items, ensure and monitor for completion, manage CCO and DCCO responses outside the system.
• Phone management; first point of contact for incoming phone calls, transfer calls to available officer, take messages as needed, answer questions as needed.
• Compliance Team Meeting: using meeting notes template, assist the team as primary meeting notetaker, follow up on action items, deadlines, and notices.
• Assist the team with running reports for officer review.
• Assist with setting up new advisors and staff in our compliance system, Orion Compliance
• Establish connections and set up of new employees in our email archiving system, SMARSH; ensure ongoing connection by monitoring the inactive status report and manage communication about re-linking status with employee.
• Meeting scheduling for advisor training, departmental meetings, manager meetings, etc.
• Assist in reviews of verbal verification process and mandatory training, rollover analysis, etc.
• 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.
• Other departmental support as needed.

Skills & Qualifications

• 4-year Bachelors 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 the mission of NEA.
• Knowledge of securities industry operations will be preferred.

Salary Range: $55,000 - $75,000 annually, based on experience, plus eligibility to participate in the company's bonus program