Financial Case Advisor - ACTIVE FINRA Series 7 License

Job Description:

Required Qualifications:

• 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

Desired Qualifications:

• 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

Job Expectations:

• This position offers a hybrid work schedule.

• Maintaining appropriate Client license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply.

Additional requirements include meeting enhanced financial fitness and criminal background standards. Initiate the Client licensing review process at the time of offer acceptance.

• This position is subject to Client Background Screening Requirements, including successful completion and clearing of a background check.

EEO:

“Mindlance is an Equal Opportunity Employer and does not discriminate in

employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.”