Jobs Search

Associate Investment Advisor

Dexian • Permanent • North Carolina, United States • 23h ago

Trading, Client Support, and Complaint Resolution

Start Date:

ASAP - Upon Background Clearance

Assignment Type & Duration:

6-12 month contract with potential for permanent conversion

Schedule:

Training: 30 days onsite
Post-Training: Hybrid - 5 days onsite / 5 days remote alternating
Standard Hours: Monday-Friday, 7:30 AM - 4:00 PM
Additional Coverage (as needed): Monday-Friday 7:00 AM - 10:00 PM EST; Saturday 8:00 AM - 8:00 PM EST

Line of Business: Investment and Centralized Complaint Resolution Team

Interview Process:

Format: 10-minute Zoom video interview
Content: Candidate will answer 3 experience-based questions
Decision Basis: Resume + video clip submission

Must-Have Qualifications:

Active FINRA Series 7 License (or expired within last 2 years for reactivation eligibility)
Series 63 or 66 preferred
At least 1 year of experience in a retail brokerage environment
Strong Microsoft Office proficiency (Word, Excel, Outlook; ability to import/export/manipulate data)
Excellent verbal and written communication skills

Preferred Qualifications:

Experience resolving client complaints, preferably in a regulated environment
1-5 years of experience in trading, client support, or financial operations
Familiarity with trading platforms and complex order processing (including margin and options)
Ability to handle high-volume queues with autonomy and strong prioritization
Understanding of margin accounts, buying power, and regulatory compliance
Strong analytical, problem-solving, and data entry skills
Ability to diffuse escalated situations and simplify complex information for customer understanding
Previous experience working under SLAs and regulatory guidelines
Bachelor's Degree or equivalent business experience preferred

Key Responsibilities:

Complaint Resolution:

Manage a queue of 50 active service complaints, triaged by risk and age
Research operational or service-related complaints and resolve or escalate appropriately
Deliver written resolutions, with occasional follow-up calls for clarification or updates
Close 8-10 cases weekly with a 95%+ quality rating
Identify regulatory red flags (e.g., ADA concerns, financial harm, elder abuse) and escalate
Challenge internal processes when needed to advocate for fair client treatment

Trading & Client Service:

Place and facilitate trades across multiple platforms
Handle complex options strategies and margin account inquiries
Respond to client inquiries via phone, email, and chat
Resolve technical and trading issues with attention to detail and efficiency
Maintain accurate records of all activity and assist with internal documentation
Collaborate with support and development teams to improve trading systems and workflows

Core Competencies:

Detail-oriented with a focus on quality and accuracy
Strong organizational and time-management skills
Ability to work independently and within a collaborative team
Excellent problem-solving and judgment
Comfortable working in a fast-paced, regulated environment
Confident communicator, capable of managing both routine and escalated interactions professionally

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.

Related Jobs

BCG Platinion Senior IT Architect

Boston Consulting Group • Permanent • North Carolina, United States • 18h ago

Architect

Locations : Atlanta Austin Boston Brooklyn Chicago Dallas Denver Detroit Houston Miami Minneapolis Nashville Summit New York Philadelphia Pittsburgh Durham Washington Who We Are Boston Consulting Group partners with lead...

18h ago

Apply

.Net Developer $68/hour Srinivasa Reddy Kandi

VALIANT TECHNOLOGIES LLC • Any • North Carolina, United States • $68 / day • 20h ago

Developer

Role: .Net Developer Bill Rate: $58/hour C2C Location: Raleigh, NC Duration: 12+ months/ long-term Interview Criteria: Telephonic + Skype Direct Client Requirement Job Details: We are looking for a .Net Developer. This i...

20h ago

Apply

Senior Business Analyst $77/hr Srinivasa Kandi

VALIANT TECHNOLOGIES LLC • Any • North Carolina, United States • $77 / day • 23h ago

Business Analyst

Role: Senior Business Analyst Bill Rate: $77/hour C2C Location: Charlotte, NC Duration: 12+ months/ long-term Interview Criteria: Telephonic + Skype Direct Client Requirement Job Details Job Title: Business Analyst Locat...

23h ago

Apply

SAP Functional Analyst

Kellton • Permanent • North Carolina, United States • 23h ago

Hi Greetings ! We are looking for SAP S/4 HANA Record to Report Functional Analyst for our Direct client & Hybrid Remote Opportunity Below are more details on it. Please do let me know if you/your friends would be in...

23h ago

Apply

Analog Power Design Engineer with Security Clearance

GeoLogics Corporation • Permanent • North Carolina, United States • 1d ago

Engineer

Analog Power Design Engineer Onsite location: McLeansville NC 27301 Required: Top Secret Clearance No 1099, No third parties, no C2C. No exceptions (Sorry) W2 Hourly Contract with limited benefits $45.00 - $54.25 per hou...

1d ago

Apply

Analog Power Design Engineer with Security Clearance

APR Consulting, Inc. • Permanent • North Carolina, United States • $54 / day • 1d ago

Engineer

Our DOD/Aerospace client is looking to fill an Analog Power Design Engineer position that just opened in McLeansville, NC. In this role, you'll be a member of a cross functional team responsible for developing Undersea C...

1d ago

Apply

Marketing Coordinator

The Planet Group • Raleigh, NC, US • 1d ago

Location: Raleigh, NC Pay Rate: Up to $38.00/hour Duration: 12 Months The Planet Groups Global Pharmaceutical client has a HOT need for a Marketing Coordinator with a minimum of 2-4 years’ experience in pharmaceutica...

1d ago

Apply

Mechanic I

Rural King • Permanent • North Carolina, United States • 2d ago

About us Rural King Farm and Home Store strives to create a positive and rewarding workplace for our associates. We offer opportunities for growth, competitive benefits, a people first environment, and an opportunity to...

2d ago

Apply

General Maintenance Worker with Security Clearance

ANISTAR Technologies • Permanent • North Carolina, United States • $23.57 / day • 2d ago

Job Title: General Maintenance Worker Location: Fort Bragg, NC Pay: $23.57 Company Summary: Our client is a proven leader in information technology, innovative strategic technical planning, and program management offerin...

2d ago

Apply

Senior Software Engineer - Credit Risk Platform

OneMain Financial • Permanent • North Carolina, United States • 2d ago

Engineer

Role Overview We are seeking a Senior Software Engineer to join our growing credit platform engineering team responsible for the implementation of 24x7 loan originations processing. The ideal candidate will have in-depth...

2d ago

Apply