Allied is seeking an Investment Operations and Compliance Associate for an established Lehigh Valley financial services firm. This direct hire career opportunity offers the chance to work for a progressive, growing company that prides themselves on being named a Best Place to Work.  As an employee owned company, the team is committed to professional servicing and a high quality client experience.  Along with a competitive salary of $70,000-90,000/yr, the position offers benefits, 401k, bonus opportunity, and generous PTO.

Responsibilities in this role include:

• perform supervisory compliance functions in accordance with FINRA/SEC rules
• monitor operational processes for regulatory requirements
• liaise with Chief Compliance Officer to ensure accurate documentation, escalation, and resolution of risks or violations
• assist in periodic audits, regulatory exams, and maintenance of compliance records
• review and approve new account paperwork for new institutional and high net worth client accounts
  • follow through on account set up, account #s, transfer of assets, portfolio implementation
• place trades per analyst recommendation
• facilitate cash transfers, calculate distributions, and generate client proposals

Successful candidates will be high energy and detail oriented. Experience in investments, financial planning operations and/or compliance is needed. A Bachelor's degree is strongly preferred. A current Series 7, 63, & 65 OR Series 7, 66 is also strongly preferred. Those unlicensed must complete the testing within 90 days of hire.

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