Compliance Coordinator

NewEdge Capital Group

About The Position

NewEdge Advisors, LLC (NEA) is a wealth management firm serving independent financial advisors with support for transitions, compliance, real estate, human resources, marketing, and technology. The Compliance Coordinator assists the compliance department with coordinating its day-to-day administrative and workflow activities. The role helps keep the team organized and on track, and supports workload balance. The position reports directly to the Deputy Chief Compliance Officer. Candidates in New Orleans, Louisiana, are preferred; remote candidates will also be considered.

Requirements

Superior customer service skills in support of NEA's mission.
Proficiency with Microsoft Office, Orion, Orion Compliance (BasisCode), SMARSH, and Salesforce is strongly desired.

Nice To Haves

Four-year bachelor's degree preferred.
One to two years of securities industry experience preferred.
Series 65 preferred but not required.
Knowledge of securities industry operations preferred.
Proficiency with Microsoft Office, Orion, Orion Compliance (BasisCode), SMARSH, and Salesforce is strongly desired.

Responsibilities

Monitor and manage the Salesforce case management system, assign cases to subject matter experts, escalate time-sensitive and complex items, monitor completion, and manage Chief Compliance Officer and Deputy Chief Compliance Officer responses outside the system.
Manage incoming phone calls as the first point of contact, transfer calls to available officers, take messages, and answer questions as needed.
Take notes at compliance team meetings using the meeting notes template and follow up on action items, deadlines, and notices.
Assist the team with running reports for officer review.
Help set up new advisors and staff in the Orion Compliance system.
Set up new employees in the SMARSH email archiving system, monitor inactive-status reports, and communicate with employees about reconnecting their accounts.
Schedule advisor training, departmental meetings, manager meetings, and other meetings.
Assist with reviews of the verbal verification process, mandatory training, rollover analysis, and related items.
Work with management and advisors to address compliance questions and concerns through thoughtful dialogue and inquiry, ensuring appropriate advice and counsel are provided when needed.
Provide exceptional service to NEA's advisor clients and advocate for and support NEA advisors and staff.
Provide other departmental support as needed.