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.