Top Tech Jobs & Startup Jobs in Charlotte, NC

The Client Support Associate engages with clients, converting calls to sales and assisting advisors with financial planning and account setup while maintaining compliance requirements.

Oversee and analyze advisor sales practices and specialized reports to identify policy violations and trading patterns. Supervise heightened and non-conventional activities, validate suitability, coach and train advisors, coordinate with Legal and business partners, improve supervisory processes, and represent the firm in regulatory examinations and disputes.

As a Financial Advisor Trainee, you will prepare for financial licenses, engage with clients, document interactions, and participate in ongoing training for professional development.

Lead operational and financial risk management by developing controls, conducting process and system reviews, performing risk assessments, enhancing risk measurement and reporting, ensuring regulatory compliance (SEC/FINRA/SOX), and serving as escalation liaison with business, legal, and compliance teams.

The Senior Trade Specialist will manage fixed-income trading operations, including trade processing and providing operational support for structured products, while ensuring compliance with regulations and optimizing execution prices.

As Director of Advisory Trading, you'll lead a team managing complex trading support for advisory programs, ensuring compliance and operational efficiency while fostering partnerships and overseeing departmental finances.

Responsible for Oracle Insurance Policy Administration, working with teams to align solutions with business needs, managing the software lifecycle, designing applications, and providing technical guidance.

The Director of Pricing and Analytics will lead product pricing, data modeling, and analysis to drive revenue in Cash and Deposit Products, while mentoring staff and collaborating with various departments for optimal financial outcomes.

Manage and support the GCO BAU portfolio, lead discovery sessions, define requirements, enhance processes, and ensure compliance with regulations.

The Director will shape investment strategies, oversee portfolio management, ensure alignment with regulations, and support long-term financial performance.