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Series Financial Advisor: Brokerage Risk & Compliance
Job in
Charlotte, Mecklenburg County, North Carolina, 28245, USA
Listed on 2026-02-04
Listing for:
Mindlance
Full Time
position Listed on 2026-02-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
A recruitment firm in Charlotte, NC, seeks candidates for a position requiring 2+ years in risk management or compliance. Applicants must have completed FINRA Series 7 exams and demonstrate strong analytical and communication skills. Ideal candidates possess brokerage industry experience and are able to make independent judgment decisions in a fast-paced environment. This role is critical for maintaining high standards of business operations and quality assurance.
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