Compliance Coordinator

NewEdge Capital Group • New Orleans, LA

4d

About The Position

NewEdge Advisors, LLC (NEA) is a wealth management firm that supports independent financial advisors with services including transitions, compliance, real estate solutions, human resources, marketing, and technology. The Compliance Coordinator assists the compliance department with day-to-day administrative and workflow coordination, helping keep the team organized, on track, and balanced. The role reports directly to the Deputy Chief Compliance Officer. Candidates in New Orleans, Louisiana are preferred, but remote candidates will be considered.

Requirements

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

Nice To Haves

• A four-year bachelor's degree is preferred.
• One to two years of securities industry experience is preferred.
• Series 65 is preferred but not required.
• Knowledge of securities industry operations is preferred.

Responsibilities

• Monitor and manage the Salesforce case management system, including assigning cases to subject matter experts, escalating time-sensitive and complex items, monitoring completion, and managing CCO and DCCO 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 and monitor ongoing connections through the inactive status report; manage communications about re-linking status with employees.
• Schedule advisor training, departmental meetings, manager meetings, and other meetings.
• Assist with reviews of verbal verification processes, mandatory training, rollover analysis, and related items.
• Work with management and advisors to address compliance questions and concerns through thoughtful dialogue and inquiry, helping ensure appropriate advice and counsel are provided.
• Provide exceptional service to NEA's advisor clients and act as an advocate and resource for NEA advisors and staff.
• Provide other departmental support as needed.

Benefits

• Eligibility to participate in the company's bonus program.

What This Job Offers

• Job Type: Full-time
• Education Level: No Education Listed