Top Tech Jobs & Startup Jobs in Charlotte, NC

Provide legal support for retail investment advice products and services: apply federal securities laws, research and analyze risks, review marketing and training materials, draft disclosures and agreements, file Forms ADV/BD, maintain records and conflicts documentation, collaborate with Compliance and business partners, and promote a culture of compliance.

Source and engage experienced financial advisors through outbound dialing and email campaigns, manage candidate pipelines in CRM/ESA, partner with regional directors to meet territory recruiting needs, screen and qualify leads, and support targeted recruitment strategies to secure meetings and advance candidates.

Lead strategy and end-to-end lifecycle for checking, savings, and CD products. Own roadmap, pricing, financial modeling, forecasting, and cross-functional execution. Drive data-driven acquisition and engagement, build performance dashboards, ensure regulatory and operational compliance, and mentor product teams to optimize growth, profitability, and customer experience.

Review and approve advisor-created marketing and retail communications for regulatory compliance. Provide feedback, coaching, and education to advisors and field leaders, support process improvements, stay current on regulatory changes, and represent the firm in examinations or regulatory matters.

Lead and evolve the equity research function for Wealth Management Solutions. Set research standards and methodologies, manage analyst coverage and succession, recruit and develop research talent, align research with portfolio construction and compliance, and oversee advisor-facing market commentary and investment communications to support portfolio decisions and advisor guidance.

Design, code, test, and implement software while collaborating with teams to meet business requirements and providing technical guidance throughout the software life cycle.

The Senior Analyst will lead investment performance initiatives, conduct research, ensure compliance, enhance reporting capabilities, and oversee data quality and performance testing.

Lead product marketing for the firm's ETF lineup: craft messaging and collateral, maintain content lifecycle, coordinate cross-functional stakeholders, measure results, and execute complex marketing programs on-time and on-budget to drive awareness and growth among financial advisors.

Adjudicate and settle life insurance claims, determine beneficiaries and benefits, review documents, investigate complex or foreign claims, communicate with clients/advisors/vendors, document files, provide secondary reviews, and serve as an SME for process improvements while ensuring regulatory and contract compliance.

Conduct fundamental equity research across Consumer Discretionary and Staples, build and maintain financial models and valuations, develop investment theses and recommendations, support portfolio construction and advisor engagement, produce research reports and presentations, and ensure governance and compliance of research activities.