FINRA Complaint Case Advisor

Role: Complaints Case Advisor

Locations: Charlotte, NC

Duration: 6 Months (Possibility for Extension/Conversion)

Position Overview

Client is seeking Complaints Case Advisors to support its FINRA complaints operations within the Wealth & Investment Management division. This role is part of a high-volume operations team responsible for managing and resolving client and regulatory complaints across multiple intake channels.

This is not a call center role the work is primarily case-based and involves written communication (letters/mail), investigation, and resolution of complaints in accordance with regulatory standards.

Key Responsibilities

• Manage a portfolio of client and regulatory complaints (approx. 20 40 cases at a time)

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