Compliance Officer, Transitions (LA, New Orleans)

June 24, 2022

Job Location:  Remote

Company Overview:

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.

Who we are:

NewEdge Advisors 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 support with transitions, compliance, real estate solutions, human resources, marketing solutions and technology 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. NewEdge Advisors serves this market.

 

Job Summary:

NewEdge Advisors is looking for a highly skilled Compliance Officer to assist the firm in meeting the regulatory needs of the firm and our advisors through collaboration and effective execution of the responsibilities of the officer role. This position will be primarily responsible for final review of advertising collateral created by our branch offices and will represent the compliance department through collaboration with the firm’s transition team for advisors and branch offices that are joining NewEdge.

 

Responsibilities and Duties:

Reviewing the submission of independently prepared marking and ensuring compliance with Rule 206(4)-1.
Collaborate with fellow advertising review specialists at our partner broker-dealers to ensure a unified approach.
Assist in the integration and testing of new technology resources in support of the firm’s compliance mission.
Partner with the transition team in support of the firm’s advisor onboarding process.
Be the liaison between compliance and transition, taking point on initial compliance questions and ensuring a broad understanding of our polices by onboarding advisors.
Assist in the maintenance of required books and the testing of policies and procedures.
Partner with NewEdge staff and advisors in addressing compliance questions and concerns through thoughtful dialogue and inquiry to ensure proper advice and counsel is provided when needed.
Provide exceptional service to your clients – the employees and advisors of NewEdge. Be an advocate and resource for the advisors and staff of NewEdge at all times.

 

Minimum Qualifications:

3 years of securities industry experience preferably within the support divisions of organizations providing investment advisory services.
Series 7 and 65/66 required. A four (4) year college degree is preferred.
Proficiency with Microsoft Office, CRM applications.
Knowledge of Fidelity WealthScape, LPL ClientWorks or similar custodial technology solutions is highly desired.
Travel Requirements:
Superior customer service skills in support of the mission of NewEdge Advisors.

 

Benefits:

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.