FINRA Escalations & Brokerage Compliance Specialist

A leading financial services firm in Charlotte, NC, is seeking a Brokerage Compliance & FINRA Escalations Specialist. This role requires over 2 years of risk management and FINRA Series 7 certifications. You'll be the primary point of contact for inquiries, manage escalated complaints, and ensure operations align with compliance and regulations. Excellent analytical and communication skills are essential. The position offers a hybrid work model. #J-18808-Ljbffr