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TEKsystems · 20 hours ago

Compliance Coordinator

Scottsdale, AZ

Contract

Hybrid

New Grad, Entry Level

$20/hr - $25/hr

TEKsystems is a leading provider of business and technology services, and they are seeking a Sales Supervision Coordinator to ensure efficient workflows through proper paperwork processing and coordination with various departments. The role involves managing transaction submissions, ensuring compliance with policies, and providing strong customer service support.

Information Technology

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

Qualification

Investment managementFinancial servicesSeries 7NetX360Brokerage operationsExcel data entryAnalytical mindsetAttention to detailProblem-solving skillsTeam collaborationTime management

Required

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

Strong organizational and time management 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