Top Tech Jobs & Startup Jobs in Charlotte, NC

Lead and enhance the first Line of Defense risk management program for Service & Operations at a clearing broker-dealer. Oversee trading and operations controls, regulatory reporting (CAT, TRACE, MSRB), control design and remediation, regulatory exam readiness, and cross-line liaison with Compliance, Legal, and Internal Audit. Manage a team of risk professionals and promote a culture of accountability and continuous improvement.

Lead due diligence for hedge funds, private credit, private equity and real estate. Source and evaluate managers, conduct RFIs, documents review, meetings and onsite visits, monitor portfolio investments, prepare investment committee recommendations, and advise internal partners and financial advisors on alternative investment strategy and risk.

The Senior Business Analyst will assist with data analysis, manage relationships with partners, implement improvements, and engage in pre/post conversion activities.

Independently process and reconcile voluntary reorganization events from DTCC, respond to escalated operational issues, monitor inboxes and control/break sheets, communicate resolutions to stakeholders, cross-train teammates, identify and implement process improvements, and participate in team projects while ensuring regulatory and internal compliance.

Lead visual design for omnichannel marketing, creating modular templates, email and digital content, ensuring brand consistency, accessibility, and responsiveness. Collaborate with partners, use analytics to optimize designs, and set standards for scalable component libraries.

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.

The Compliance Analyst will manage the Field Compliance Manual process, assist in policy drafting, maintain compliance records, and respond to inquiries within the AWM Compliance program.

Support credit strategy and lending product initiatives through data analysis and benchmarking. Assist the loan loss reserve function, inform CECL model development, prepare subcommittee materials, monitor credit quality, and partner with stakeholders to influence credit strategy and operational improvements for consumer lending products.

The role involves processing trade corrections, analyzing account activity, researching resolution issues, and ensuring compliance with industry regulations.

As a Sales Supervision Manager, you will supervise structured product transactions and IRA rollovers, ensuring compliance and providing training and support to advisors while managing complex issues and risks.