Financial Case Advisor — FINRA Series 7

Job overview

The Financial Case Advisor role is hybrid in Charlotte, NC. Compensation is not specified. The role requires an active FINRA Series 7 qualification sufficient for immediate client registration and supports financial-industry risk, controls, quality, compliance, or operations work. The advisor applies relevant experience and independent judgment to review cases and support business processes. The position calls for analytical skills, timely decisions, and collaboration with business and functional partners, while maintaining required licenses and meeting screening requirements.

What you'll do

• Apply risk management, business controls, quality assurance, business operations, compliance, or process experience
• maintain appropriate client licenses and comply with state registration requirements
• complete the licensing review and background screening processes
• use analytical judgment and collaborate with business and functional areas.

What we're looking for

Skills & competencies

financial case advisor

finra series 7

risk management

business controls

quality assurance

compliance

brokerage operations

hybrid

charlotte nc

mindlance

Work arrangement

• Weekend coverage required

Why this role

Requires two years of relevant risk, controls, quality, operations, compliance, or process experience and successful completion of the FINRA Series 7 examination or a recognized equivalent.

About the employer

Mindlance is hiring for this role. Industry: Temporary Help Services. Sector: 56.