Mindlance · 3 hours ago
Financial Advisor
Charlotte, NC
Contract
Hybrid
Entry, Mid Level
$30/hr - $33/hr
2+ years expMindlance is a company seeking a Financial Analyst to join their team. The role involves maintaining compliance with FINRA licensing and state law registration requirements, as well as ensuring adherence to background screening standards.
Human Resources
Hiring Manager
Jenson Joseph
Responsibilities
Maintaining appropriate FINRA 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
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check
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
Maintaining appropriate FINRA license(s) is required for ongoing employment in this position
Compliance with state law registration and licensing requirements is mandatory
Meeting enhanced financial fitness and criminal background standards
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check
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
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
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