Top Tech Jobs & Startup Jobs in Charlotte, NC

Lead risk and compliance coordination for Wealth Management Solutions, managing regulatory reporting, controls, governance, audits, policy oversight, risk assessments, remediation, and stakeholder collaboration to mitigate operational, financial, regulatory, and compliance risk.

Provide legal support for retail investment advice: analyze securities laws and FINRA rules, research and draft disclosures/agreements, review marketing/training materials, maintain filings (Forms ADV/BD), manage conflicts documentation, and collaborate with Compliance and business partners to promote regulatory compliance.

Source and engage experienced financial advisors via outbound calls and email campaigns, manage candidate pipeline in CRM/ESA, partner with regional leaders to tailor territory recruitment strategies, and maintain market/product knowledge to overcome objections and secure meetings.

Source and engage experienced financial advisors through outbound dialing and email campaigns, screen and qualify candidates, manage CRM records and pipelines, collaborate with regional leaders to align territory recruiting strategies, and maintain product and market knowledge to overcome objections and secure meetings.

Lead strategy and lifecycle management for checking, savings, and CD products. Own roadmap, pricing, financial modeling, forecasting, and performance reporting. Drive acquisition and engagement with data-driven analytics (SQL), partner across finance, risk, compliance, technology, and marketing, ensure regulatory and operational compliance, and hire, mentor, and develop product teams to optimize balances, profitability, and customer experience.

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 Software Engineer will design, code, test, and maintain applications, collaborating closely with technical teams to ensure quality solutions while adhering to organizational standards.

As a Senior Analyst, you will lead investment performance reporting initiatives, ensuring compliance, maintaining performance tools, and collaborating with various business units to enhance reporting capabilities.

Lead product marketing for the ETF lineup: create messaging and collateral, manage lifecycle content, run complex marketing programs, measure results, and coordinate cross-functional stakeholders (sales, product, investments, compliance) to drive awareness and growth for financial advisor distribution.

Adjudicate life insurance claims end-to-end: verify policy status, determine beneficiaries and benefit amounts, handle complex beneficiary and foreign death investigations, document files, communicate with clients/advisors/vendors, provide peer secondary review, and support process improvement as a subject-matter resource.