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NewEdge Capital Group

16 jobs near Columbus, OH

Compliance Associate

NewEdge Capital Group LLC

Stamford, CT

Full-time

Posted 22 days ago

Job description

Job Summary:

NewEdge Wealth, a division of NewEdge Capital Group, LLC, is seeking a highly motivated and experienced Associate, Compliance to join its growing team. This individual will play a critical role in supporting and overseeing day-to-day compliance activities across our advisory and brokerage platforms, with a particular focus on supervisory responsibilities tied to our Office of Supervisory Jurisdiction (OSJ) and branch locations.

Duties/Responsibilities:

  • Conduct daily trade blotter reviews and periodic reviews of advisory accounts, identifying trends or issues requiring escalation.
  • Support ongoing implementation of policies and procedures, conduct testing of controls, and contribute to annual compliance reviews and risk assessments.
  • Respond to the daily questions and requests that come to our compliance inbox from the field.
  • Collaborate with team members to create and maintain written supervisory procedures surrounding the trade review process.
  • Assist advisors in generating ad-hoc document requests for our clients.
  • Work with our employees to ensure they are up to date on firm training initiatives on a quarterly and annual basis.
  • Work with other teams within the organization (Operations, Licensing) on new and ongoing requests from the field.
  • Support new employees with access to our compliance portal to ensure that proper disclosures take place to follow current policies and procedures.
  • Serve as an escalation point for field teams and advisors, applying reasonable and timely judgment to resolve compliance questions or interpret firm policies.

Required Education/Skills/Abilities:

  • Minimum 3 years of experience in the financial services industry, with demonstrable exposure to both investment advisory and broker-dealer regulatory frameworks.
  • Bachelor’s degree required.
  • Active FINRA Series 7 and Series 24 or Series 9/10 licenses are required.
  • Experience with FIS Protegent and FIS ECM systems are a plus.
  • Familiarity with SEC, FINRA, and state regulatory rules applicable to wealth management firms serving UHNW clients.
  • Demonstrated ability to make informed, balanced compliance decisions under pressure, applying regulatory knowledge in real-world business contexts.
  • Strong interpersonal and communication skills with a client service mindset and the ability to engage constructively with advisors and internal stakeholders.
  • Detail-oriented, organized, and able to work independently with minimal supervision.
  • High proficiency in Microsoft Office Suite (Excel, Word, PowerPoint), with working knowledge of compliance tools and CRM systems strongly preferred.

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