Current Job Openings

IT Technician

We are seeking a dependable and detail-oriented IT Technician to support our day-to-day technology operations. This role provides first-level technical support to staff, assists with hardware and software maintenance, and helps ensure our systems are secure, efficient, and reliable. This is an excellent opportunity for someone looking to develop their IT skills in a professional office environment.

Key Responsibilities

  • Provide technical support to employees for hardware, software, and network-related issues
  • Set up, configure, and maintain desktops, laptops, printers, and mobile devices
  • Assist with user account management, permissions, and password resets
  • Troubleshoot basic network, connectivity, and application issues
  • Install and update software and operating systems
  • Document IT procedures, issues, and resolutions
  • Coordinate with external vendors and service providers as needed
  • Support data backup, security, and system maintenance efforts
  • Perform other IT-related duties as assigned
  • Travel between company locations for required troubleshooting

Qualifications:

  • Associate’s degree in Information Technology or related field, or equivalent experience
  • 1–2 years of IT support or help desk experience preferred
  • Preferable Certifications: CompTIA A+ and CompTIA Network+
  • Working knowledge of Windows operating systems and Microsoft Office applications
  • Basic understanding of networking concepts and hardware troubleshooting
  • Strong problem-solving skills and attention to detail
  • Excellent communication and customer service skills
  • Ability to manage multiple tasks and prioritize effectively

Preferred Skills (Nice to Have):

  • Familiarity with cybersecurity best practices
  • Exposure to financial services systems and trading environments
  • Understanding of compliance-driven settings and documentation standards

What We Offer

  • Competitive compensation
  • Benefits package (health, dental, vision, retirement, etc.)
  • Supportive team environment
  • Opportunities for professional growth and skill development

How to Apply

Interested candidates should submit a resume and brief cover letter to jwilkinson@cartyco.com outlining their qualifications and interest in the position.

Public Finance Banker – Little Rock

Are you a driven individual seeking a career in Public Finance?   Do you have good communication skills and ambition? If so, we want to hear from you!

We are seeking a talented Public Finance Banker to join our team to pursue business in the state of Oklahoma.  We are committed to developing our team members and providing a pathway for individuals to grow their knowledge, experience and career.  Carty, Harding & Hearn is a SEC registered broker/dealer specializing in fixed income securities and public finance with over 55 years of experience.   Headquartered in Memphis, TN – Carty, Harding & Hearn has 9 offices in 7 states.

As a Public Finance Banker, you will work closely with the Public Finance team to pursue municipal financings opportunities for the firm, including debt obligations of state and local governments and non-profit entities.

In This Role You Will:

  • Pursue the origination of public and private bond issues through building strong relationships with state and local governments and non-profit entities and industry professionals such as bond counsels and financial advisors
  • Develop responses to requests for proposals to acquire new clients
  • Create presentations and supporting materials
  • Develop credit and bond sizing analysis for prospective transactions
  • Develop credit rating presentations
  • Coordinate the bond sale process including detailed timelines, sale, and closing/funding
  • Coordinate the completion of transactions across cross-functional team members including underwriting, sales, and trading
  • Adhere to strict compliance with all applicable laws and regulations

What Skills you Bring:

  • Integrity, attention to detail, assertiveness, initiative, strong work ethic
  • High aptitude for strategic and creative thinking
  • Ability to multi-task, work independently and collaborate in teams
  • Proficient in Microsoft Excel, Word, PowerPoint and Outlook (financial functions, formulas, macros a plus)
  • Sound mathematical, statistical, computational, analytical and research abilities

What We Look For:

  • Bachelor’s degree in relevant coursework (Finance and Economics), equivalent work experience and/or demonstration of a basic understanding of the securities industry by having passed the Securities Industry Essentials Exam (SIE).
  • Minimum required licenses: SIE, Series 52 and Series 63, or ability to obtain within 6 months.
  • Strong communication and organizational skills with the ability to prioritize and complete multiple tasks under strict deadlines.

How to Apply

Interested candidates should submit a resume and brief cover letter to jwilkinson@cartyco.com outlining their qualifications and interest in the position.

Senior Compliance Manager

The Senior Compliance Manager is responsible for managing and strengthening the firm’s broker-dealer compliance program, with a particular focus on municipal securities regulation. This role will ensure the firm maintains full compliance with FINRA, SEC, and MSRB (Municipal Securities Rulemaking Board) regulations, as well as internal policies related to the trading, marketing, and sale of municipal bonds.

This is a high-impact leadership role requiring a detail-oriented professional with extensive experience in fixed income compliance, especially municipal securities, and a deep understanding of regulatory trends and enforcement practices in the broker-dealer space.

Key Responsibilities:

Regulatory Compliance

  • Ensure firm-wide compliance with all relevant regulatory obligations, including but not limited to FINRA, SEC, and MSRB rules.
  • Serve as the subject matter expert on municipal securities compliance, including MSRB Rule G-17 (fair dealing), G-32 (disclosures), and G-37 (political contributions).
  • Monitor and interpret regulatory developments, enforcement trends, and rule changes; communicate implications to senior leadership and stakeholders.
  • Manage all required regulatory filings, including Form U4/U5 updates, Form BD amendments, and responses to FINRA and MSRB inquiries.
  • Coordinate and prepare for periodic regulatory audits and examinations.

Policies, Procedures & Internal Controls

  • Develop, implement, and maintain compliance policies and procedures, especially those relating to municipal bond trading, pricing, advertising, suitability, and disclosures.
  • Conduct internal reviews, branch audits, and testing of supervisory procedures (WSPs) to ensure ongoing adherence to regulatory requirements.
  • Identify potential areas of compliance vulnerability and risk; recommend and implement corrective action plans.

Surveillance & Monitoring

  • Oversee electronic and trade surveillance systems for municipal bond activity, ensuring appropriate monitoring of:
    • Markups/markdowns and best execution
    • Customer confirmations
    • Pricing disclosures
    • Political contributions (Rule G-37 compliance)
  • Investigate red flags or exceptions and escalate issues as necessary.
  • Review and approve advertising, sales materials, and other client-facing communications related to municipal securities.

Training & Education

  • Provide ongoing compliance training for registered representatives, traders, and other staff on relevant MSRB, FINRA, and SEC rules.
  • Maintain training records and ensure all registered individuals complete continuing education (Firm Element & Regulatory Element) as required.

Collaboration & Leadership

  • Collaborate with trading, operations, and legal departments to ensure seamless integration of compliance into business processes.
  • Support the Chief Compliance Officer in maintaining the firm’s supervisory structure and advising senior leadership on regulatory risk.
  • Mentor junior compliance staff and support succession planning within the compliance team.

Qualifications:

Education & Certifications

  • Bachelor’s degree in finance, business, law, or a related field required.
  • Advanced degrees (JD, MBA, or Master’s in compliance or finance) preferred.
  • Active FINRA Series 7 and Series 24 licenses required.
  • Series 53 (Municipal Securities Principal) required or must be obtained within 6 months of hire.
  • Additional certifications such as CRCP, CFE, or CAMS are a plus.

Experience

  • 8–10+ years of progressive compliance experience within a broker-dealer, preferably with a municipal securities focus.
  • Demonstrated experience interacting with FINRA, MSRB, and SEC examiners.
  • In-depth knowledge of MSRB rules, municipal securities market structure, and fixed income compliance best practices.
  • Experience in building or upgrading compliance systems, processes, and controls is highly desirable.

Skills & Attributes

  • Strong analytical, investigative, and communication skills.
  • Ability to manage multiple tasks and projects under pressure.
  • High attention to detail with a proactive, solutions-oriented mindset.
  • Integrity and professionalism in handling sensitive regulatory issues.

Work Environment & Compensation:

  • Competitive base salary with performance-based bonus potential
  • Comprehensive benefits: medical, dental, vision, 401(k) with match, paid time off
  • A collaborative, tight-knit firm culture with direct access to leadership

How to Apply

Interested candidates should submit a resume and brief cover letter to jwilkinson@cartyco.com outlining their qualifications and interest in the position.

Fixed Income Investment Sales

Carty, Harding & Hearn would like to tell you about the many opportunities available. Whether you already have a book of business or are just considering trying the exciting and lucrative business of investment sales, Carty, Harding & Hearn is interested in you.

What We Look For:

  • College degree
  • Series 7 license or prior sales experience
  • High ethical standards and a desire to learn and succeed

We Offer

  • 55 years of experience in fixed income trading and sales, marketing to high net worth individuals as well as institutions
  • Higher than most commission rates, starting at 40%
  • Nationally recognized, locally owned, well capitalized firm with management and staff interested in your success
  • Proprietary analytics that help measure institutional client’s portfolio efficiency in meaningful ways, eliminating unnecessary data
  • Licensed throughout the US, eliminating many territorial and communication issues one finds at other firms
  • Unlimited earning potential
  • Fully disclosed clearing through Pershing
  • Major medical and hospitalization benefits, disability coverage, vision, dental, critical care, and 401K

Send Your Resume To

Human Resources Manager
6263 Poplar Avenue, Suite 800
Memphis, TN 38119
901-767-8940
humanresources@cartyco.com