Mindlance · 17 hours ago
Financial Advisor
Charlotte, NC
Contract
Hybrid
Entry, Mid Level
$30/hr - $34/hr
2+ years expMindlance is a company focused on providing quality services in the financial sector, and they are seeking a Brokerage Compliance & FINRA Escalations Specialist. The role involves serving as the primary point of contact for clients regarding brokerage accounts and ensuring compliance with FINRA regulations while handling escalated complaints and operational tasks.
Human Resources
Hiring Manager
Rajesh Panwar
Responsibilities
Serve as the primary point of contact for clients with inquiries regarding brokerage accounts, transactions, and investment products
In charge of escalated complaints for FINRA
Handling all brokers complaints
Execute operational tasks including account maintenance, funding requests, trade corrections, and documentation processing
Ensure compliance with FINRA regulations, internal procedures, and audit controls
Collaborate with financial advisors, operations teams, and internal partners to resolve issues and streamline processes
Identify and recommend process improvements to enhance service delivery and operational efficiency
Maintain current knowledge of financial markets, products, and regulatory changes
Qualification
Required
2+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience
Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Preferred
2+ years of brokerage industry/brokerage complaints processes experience
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
H1B Sponsorship
Mindlance has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (71)
2024 (53)
2023 (37)
2022 (72)
2021 (36)
2020 (40)
Funding
Current Stage
Late StageLeadership Team
R
Rajat Paul Dhall
Co-Founder & Managing Director
V
Vik Kalra
Co-Founder and Managing Director
Recent News
2025-11-19
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