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Brokerage Operations Specialist
Job in
Charlotte, Mecklenburg County, North Carolina, 28245, USA
Listed on 2026-02-19
Listing for:
Randstad USA
Full Time
position Listed on 2026-02-19
Job specializations:
-
Finance & Banking
Risk Manager/Analyst
Job Description & How to Apply Below
Randstad in partnership with a leading financial services client is seeking detail-oriented professionals to join a dynamic team focused on regulatory adherence, risk mitigation, and procedural improvement. This role requires an active Series 7 license to be considered.
This position will start in March 2026
In this role, you’ll:
- Conduct research and assessments on business policies, regulatory controls, and risk process
- Analyze business and operational outcomes to identify trends and suggest control enhancements
- Present well-supported recommendations to help drive resolution of key issues
- Collaborate across departments to align and strengthen compliance practices
- Support internal operational initiatives and develop deeper regulatory knowledge
What we’re looking for:
- 2+ years of experience in risk management, compliance, QA, or brokerage operations
- FINRA Series 7 required
- Strong communication, analytical, and independent decision-making skills
Details:
- 6-month contract
- Located in Charlotte, NC
- Fully onsite training for the first month, then hybrid (1 week in/1 week remote)
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