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About Mindlance: Founded in 1999 , Mindlance has been ranked as one of the fastest growing US Staffing firms by SIA for 9 consecutive years. We provide workforce solutions to Global 1000 companies in Technology, Engineering, Finance, Clinical Research, Scientific, Digital/Creative/Marketing space. Mindful of the opportunity gap, we provide balanced solutions for both employers and job seekers—elevating the standards of recruitment practice to a whole new level . Our aim is to make a difference in the lives of job seekers by providing them with opportunities that broaden career horizons and expand skill sets. We take pride in being a strong driver of mindfulness and balance at workplace. EEO: “Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.” Job Title: Case Advisor Job Category: Finance Industry: Banking Job Location: Salt Lake City, UT Zip Code: 84116 Top 3/5 Skills: Must have an active FINRA Series 7 license Min & Max Pay Rate ($30/hr. – $34/hr.) Job Description Job Title: Brokerage Compliance & FINRA Escalations Specialist Duration: 6+ Months (Possibility of Extension/Conversion) Location: Salt Lake City, UT (Hybrid) Required Qualifications: · 2+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience. · Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration Desired Qualifications: · 2+ years of brokerage industry experience · 2 years' experience in Quality Assurance, Operational Risk, or compliance roles · Strong analytical skills with ability to draw conclusions and translate findings · Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment · Experience developing partnerships and collaborating with other business and functional areas · Excellent verbal, written, and interpersonal communication skills Key Responsibilities: · Serve as the primary point of contact for clients with inquiries regarding brokerage accounts, transactions, and investment products. · In charge of escalated complaints for FINRA. · Handling all brokers complaints. · Execute operational tasks including account maintenance, funding requests, trade corrections, and documentation processing. · Ensure compliance with FINRA regulations, internal procedures, and audit controls. · Collaborate with financial advisors, operations teams, and internal partners to resolve issues and streamline processes. · Identify and recommend process improvements to enhance service delivery and operational efficiency. · Maintain current knowledge of financial markets, products, and regulatory changes.