Compliance Coordinator

Sales Supervision Coordinator

HYBRID - Scottsdale, AZ 85255

Pay Rate: $20-$25/hr

Schedule: Monday - Friday, 8am - 5pm

Contract to Hire

Description:

The Sales Supervision Coordinator works in conjunction with Sales Supervision Principals to ensure efficient workflows through proper and timely paperwork processing, answering phone calls, assisting branch offices and meeting department deadlines. The Sales Supervision Coordinator will support the department by coordinating the receipt of transaction submissions via an electronic imaging system and recording the information in approved systems and applications for tracking and reporting purposes. The Sales Supervision Coordinator helps coordinate efforts between management and other departments to ensure business is processed in accordance with the firm’s policies and procedures to protect the client, the advisor and the firm.

Responsibilities:

-Coordinates receipt of submissions via Support Center.

-Daily coordination of all transactions requiring suitability review to include, but not limited to, variable annuities, indexed-linked annuities, fixed-indexed annuities, and non-traded alternative investments.

-Reviews paperwork for completeness and accuracy while processing transactions submitted for review. This could include reviewing financial disclosures and performing calculations in relation to guidelines.

-Resolves missing documentation and reconciles misrouted documentation to the proper case or department

-Responds to requests from Sales Supervision Managers, principals and other departments regarding submissions.

-Assigns Pre-Approval cases to principals for review and ensures that daily workload of the principals is balanced.

-Works with Sales Supervision principals and managers and branch offices to address and resolve deficiencies in submissions.

-Enter transaction data into Direct Order System

-Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures.

-Provides strong customer service support by taking in-bound calls and corresponding with branch offices via phone, email and Support Center.

-All other duties as assigned

Skills:

Investment management, Investments, wealth management, transactions and securities, financial services, brokerage operations, brokerage banking, brokerage, annuity, securities, mutual fund, ira, money movement, excel data entry, series 7, series 6, series 63, series 66, netx360

Additional Skills & Qualifications

• High attention to detail, analytical mindset, and problem-solving skills

• Ability to work independently and maintain high levels of quality

• Ability to work and remain focused under pressure

• Ability to participate and contribute in a team environment

• Ability to become proficient with the following internal systems: NetX360, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), Client Central and back office functions

• Ability to acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills

NICE TO HAVE:

SIE Certification

Series licensing (Series 6, Series 7, Series 63, Series 66)

Experience working with NetX360/Salesforce/Pershing clearing house

#priorityeast

This is a Contract to Hire position based out of Scottsdale, AZ.

The pay range for this position is $20.00 - $25.00/hr.

Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following: • Medical, dental & vision • Critical Illness, Accident, and Hospital • 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available • Life Insurance (Voluntary Life & AD&D for the employee and dependents) • Short and long-term disability • Health Spending Account (HSA) • Transportation benefits • Employee Assistance Program • Time Off/Leave (PTO, Vacation or Sick Leave)

This is a hybrid position in Scottsdale,AZ.

This position is anticipated to close on Jan 30, 2026.

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

About TEKsystems and TEKsystems Global Services

We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.