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.

The ideal candidate will bring a strong background in both investment advisory and broker-dealer environments, demonstrate sound, pragmatic judgment, maintain a high level of responsiveness and professionalism, and possess a proactive and self-driven work ethic. This role requires someone who can collaborate effectively with Private Wealth Advisors, client service professionals, and operations teams while ensuring compliance with the regulatory framework set forth by the SEC, FINRA, and other applicable authorities.

Duties/Responsibilities:

• Perform supervisory responsibilities in line with NewEdge Wealth and its affiliates’ policies and procedures, including direct coverage of advisory teams and OSJ functions.
• Conduct daily trade blotter reviews, email surveillance, and periodic reviews of advisory accounts, identifying trends or issues requiring escalation.
• Oversee and monitor client correspondence to ensure communications are fair, balanced, and compliant with regulatory standards.
• Review and approve transactions involving complex and alternative investment products, including hedge funds, private equity, and structured notes, with a focus on suitability and appropriateness for ultra-high-net-worth clients.
• Maintain expert knowledge of compliance systems such as FIS Protegent, Salesforce, Orion, and advanced Excel data analysis tools.
• Serve as an escalation point for field teams and advisors, applying reasonable and timely judgment to resolve compliance questions or interpret firm policies.
• Support ongoing implementation of policies and procedures, conduct testing of controls, and contribute to annual compliance reviews and risk assessments.
• Act as a liaison across departments (investment solutions, legal, client service) to support UHNW client needs while mitigating regulatory and reputational risk.
• Participate in compliance training initiatives and contribute to a culture of integrity and accountability.

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.
• 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.
• Comfortable with limited overnight travel (
• High proficiency in Microsoft Office Suite (Excel, Word, PowerPoint), with working knowledge of compliance tools and CRM systems strongly preferred.