Top Tech Jobs & Startup Jobs in Charlotte, NC

Lead and enhance the first Line of Defense risk program for Service & Operations, focusing on trading, regulatory reporting, and operations controls for a clearing broker-dealer. Oversee control design and execution, regulatory reporting (CAT, TRACE, MSRB), counterparty and execution controls, gap remediation, regulatory exam readiness, and stakeholder liaison. Manage and develop a team, drive risk-based decision-making, and promote a strong risk culture across business lines and control functions.

Lead due diligence and ongoing monitoring for hedge funds, private credit, private equity, and real assets. Source and evaluate managers, conduct RFIs, onsite visits, performance and risk analysis, prepare investment recommendations, and collaborate with internal stakeholders and advisors to support investment committee decisions.

Process and reconcile voluntary corporate reorganization events via DTCC; respond to escalated and complex issues; communicate resolutions to stakeholders; monitor reorg inbox, break sheets and control sheets; collaborate with advisors, clients, and partners; process routine and sophisticated transactions accurately and timely; identify and implement process improvements; participate in team projects and cross-train to handle volume.

Lead omnichannel visual design for email, banners, infographics, and editorial content. Establish modular templates, design standards, and component libraries. Collaborate with internal/external partners, apply accessibility and responsive best practices, monitor performance, and iterate using analytics to improve engagement and brand consistency.

Review and approve advisor-created marketing and retail communications using risk-based supervisory analysis. Provide feedback, coaching, and education to advisors and field leaders, stay current on regulatory changes, support process improvements, and represent the firm in regulatory matters. Participate in team development and collaborate to share best practices and streamline workflows.

The Compliance Analyst supports the AWM Compliance program by facilitating policy intake processes, maintaining manuals, ensuring compliance, and collaborating with stakeholders for policy review and updates.

Analyze and correct trade-correction cases across mutual funds, securities, cash, bonds, and managed accounts. Research and resolve issues with internal and external partners, ensure regulatory and compliance adherence, identify root causes, produce trend reporting, and support continuous process improvements and team members.

Support credit strategy, product development, and lending growth through data analysis. Contribute to loan loss reserve and CECL model development, benchmark analysis, and monitoring credit quality. Provide analytics and reporting to lending product teams, prepare committee materials, and partner with stakeholders to influence credit strategy and operational improvements.

The Sales Supervision Manager oversees sales supervision of complex financial products, ensuring compliance and providing advisor training and risk mitigation.

Responsible for marketing strategy and execution for ETF products, creating messaging, managing collateral, and collaborating with cross-functional teams.