EdgeCo Holdings is comprised of several affiliated companies focused on providing a broad array of sophisticated financial products, technology, and support services in the areas of full-service retirement plan administration, brokerage services, and trust & custody solutions. EdgeCo provides these services through numerous subsidiary entities including American Trust, Mid Atlantic Trust Company, NewEdge Capital Group and PensionPro Software.
NewEdge Advisors, LLC (“NEA”) is a rapidly growing wealth management firm, made up of independent financial advisors that all share the belief that every client is unique and deserves more than ordinary service. Our mission is to give established advisors more time and resources to focus on their clients and practices. We do this by striving to make our advisors’ challenges our own. Supporting our advisors is our only success.
We provide independent financial advisors transition support, compliance support, real estate solutions, human resources support, marketing solutions and information technology support so that they can focus their attention where it matters most; their clients. When advisors choose to become independent, many believe that the best way to run their practice efficiently and profitably is through partnership, economies of scale and shared resources. NEA serves this market.
The senior management team at NEA is looking for a highly skilled compliance professional to serve as the Director of Compliance to assist the management of the firm and its advisors in understanding their compliance duties, while providing support and leadership through collaboration and effective execution of the responsibilities of the role. The Compliance Officer will report directly to the Chief Compliance Officer of the firm.
The position may be located in a remote location as agreed upon by the firm.
Responsibilities and Duties
Creation and enhancement of advisory processes and procedures utilizing technology solutions to provide effective oversight and escalation of compliance matters.
Development and analysis of reporting necessary to implement oversight of the advisory program using data and information from multiple sources.
Partner with the Chief Compliance Officer and NEA personnel as needed to complete required branch audits.
Assist in the maintenance and updating of required books and records to include policies and procedures, ADV brochures and the code of ethics.
Perform testing of policies and procedures in support of the annual review requirements of NEA.
Partner with management and advisors in addressing compliance questions and concerns through thoughtful dialogue and inquiry to ensure proper advice and counsel is provided when needed.
Ability to operate independently in completing assigned tasks and ensuring adequate protections to the firm and support to the advisors is constantly maintained.
Provide exceptional service to your clients – the advisors of NEA. Be an advocate and resource for the advisors and staff of NEA at all times.
7 or more years of securities industry experience within organizations providing investment advisory services.
FINRA Series 7, 66 and 24 are required.
A four (4) year college degree is required.
Proficiency with Microsoft Office, Cloud-based data storage and CRM applications.
Must have the ability to travel as required to perform the required audit functions of a growing organization.
Superior customer service skills in support of the mission of NEA.
Employees are eligible to participate in company benefits including health, dental, and vision insurance on the first of the month after their hire date. The company also provides a 401(k) plan with company match, group life insurance, short- and long-term disability, as well as additional voluntary benefits for employees to elect participation in.