Finance Specialist

Dexian; Charlotte (NC); On-site; USD 17,100 - 20,900; Full time

Job summary

A leading company in the financial sector is offering an opportunity for aspiring finance professionals to undergo training for key industry licenses, leading to a full-time position as a Compliance Specialist in Charlotte, NC. This role includes structured training, support for Financial Advisors, and a commitment to a long-term career in financial advisory. Candidates will gain hands-on experience while developing essential skills for success in the finance industry.

Qualifications

• Bachelor's degree in Finance, Business, or a related field.
• Experience in sales support, branch administration, or brokerage operations.
• Familiarity with FINRA licenses (SIE, Series 7, Series 63).

Responsibilities

• Participate in training for obtaining SIE, Series 7, and Series 63 licenses.
• Assist in the integration of Financial Advisors into the platform.
• Manage new client accounts and create detailed reports.

Skills

Communication

Organizational skills

Microsoft Office Suite

Multitasking

Passion for finance

Education

Bachelor's degree in Finance or Business

Job description

This is an Unlicensed Training class with a large banking institution to obtain a Series 7,63 and SIE licenses. After obtaining these licenses you will transfer into the full-time position as a Compliance Specialist.

Location: Charlotte, NC

Position Type: Full-Time, Temporary to Permanent (4 months with conversion to permanent upon obtaining licenses)

Hours/Schedule: 8:30 AM – 5:00 PM, Monday – Friday

Pay Rate: $19.00/hour (may increase, to be confirmed) - $60,000 once full time

Job Overview:

We are seeking motivated individuals interested in launching a career in finance and financial advisory. This is an exciting opportunity for candidates who are passionate about the industry and eager to undergo comprehensive training. Candidates will be provided with training to prepare for their Securities Industry Essentials (SIE), Series 7, and Series 63 licenses. The training program will take place onsite, and candidates will be expected to fully commit to the program.

Upon successful completion of the training and obtaining the required licenses, candidates will be converted to permanent employees. This is an excellent opportunity for individuals looking to establish a long-term career in financial advisory.

Key Responsibilities:

• Training & Licensing: Participate in structured training at Ally, focusing on obtaining the SIE, Series 7, and Series 63 licenses.
• Client Integration Support: Assist in the integration of newly hired Financial Advisors (FAs) into Advisors, LLC platform. This includes managing account transfers and new client account paperwork.
• Act as a liaison between newly hired FAs, branch support staff, and channel managers to ensure smooth transitions and provide necessary support.
• and manage new client accounts within various systems.
• Work with internal teams to address escalated issues related to account transitions and integration.
• Create and submit detailed reports and metrics on completed assignments.
• Provide ongoing support to FAs after integration, working closely with the Integration Consultants, branch staff, and Platform Coaching teams.

Required Qualifications:

Education: Bachelor's degree in Finance, Business, or a related field.

Experience:

Experience in sales support, branch administration, or brokerage operations is a plus.

Licenses & Certifications:

Familiarity with FINRA licenses (SIE, Series 7, Series 63) is highly desirable.

Skills:

• Strong communication skills (verbal, written, and interpersonal).
• Excellent organizational and multitasking abilities.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook, Access).
• Experience in financial advisory or brokerage operations.
• Previous internship or role related to advisory services or financial support.
• Prior knowledge or existing completion of some FINRA licenses (SIE, Series 7, and/or Series 63) is a plus.
• A genuine passion for finance and financial services, with a clear commitment to a long-term career in the field.

Additional Notes:

Attendance: This is a structured, onsite training program, and candidates must be present every day. Extended time off or frequent PTO will not be granted except for special occasions.

Commitment: Candidates must be fully committed to completing the program and obtaining the required licenses within the specified timeframe.

Application Process:

All candidates will undergo background checks before offers are extended.

The hiring manager will interview candidates ASAP, and we are looking to secure 10+ strong candidates for this opportunity.

Seniority level

• Seniority level

  Entry level

Employment type

• Employment type

  Contract

Job function

• Job function

  Finance

Referrals increase your chances of interviewing at Dexian by 2x

Special Agent: Accounting/Finance Background

Financial Planning & Analysis (FP&A) Lead

Charlotte, NC
$64,880.00
-
$72,990.00
1 week ago

Charlotte, NC
$64,880.00
-
$72,990.00
1 week ago

FINANCE MANAGER, Remote/Hybrid, Charlotte, NC

Charlotte, NC $90,000 - $100,000 3 weeks ago

Charlotte, NC $70,000 - $75,000 5 days ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.