Compliance Associate

Compliance Associate NewEdge Capital Group LLC Stamford, CT Job Details Full-time 7 hours ago Qualifications Compliance risk assessment Internal controls Microsoft Excel Procedural guides Securities & Exchange Commission Regulatory compliance Mid-level 3 years Compliance management implementation Series 7 Policy & process development Bachelor's degree Client services Audit control testing Industry knowledge of financial regulations Series 24 FINRA License Financial services CRM system proficiency Productivity software Cross-functional collaboration Escalation handling Communication skills

Full 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.