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

Manager Interview: ASAP

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.

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