Mindlance · 9 hours ago
Financial Advisor – Series 7
Charlotte Metro
Contract
Hybrid
Entry, Mid Level
2+ years expMindlance is seeking a Financial Advisor with an active Series 7 License. The role involves providing risk management and compliance support, ensuring adherence to business controls and quality assurance within the brokerage industry.
Human Resources
No H1B
Hiring Manager
Saumil Shah
Qualification
Required
Active Series 7 Licence is must
2+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience
Successfully completed Financial Industry Regulatory Authority (Client) Series 7 examinations (or Client recognized equivalents) sufficient to qualify for immediate Client registration
Preferred
2+ years of brokerage industry experience
2+ years' experience with brokerage complaints processes
2 years' experience in Quality Assurance, Operational Risk, or compliance roles
Strong analytical skills with ability to draw conclusions and translate findings
Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
Experience developing partnerships and collaborating with other business and functional areas
Excellent verbal, written, and interpersonal communication skills
Company
Mindlance
Mindlance is a Staffing and Recruiting company which provides multi-vertical staffing services
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
R
Rajat Paul Dhall
Co-Founder & Managing Director
V
Vik Kalra
Co-Founder and Managing Director
Recent News
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