TEKsystems · 17 hours ago
Compliance Coordinator
Scottsdale, AZ
Contract
Hybrid
New Grad, Entry Level
$20/hr - $25/hrTEKsystems is a leading provider of business and technology services, and they are seeking a Compliance Coordinator to support the Sales Supervision team. The role involves coordinating transaction submissions, ensuring compliance with policies, and providing customer service support to branch offices.
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
Required
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
Benefits
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)
Company
TEKsystems
At TEKsystems, they understand people. Every year they deploy over 80,000 IT professionals at 6,000 client sites across North America,
Founded in 1994
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Ryan Skains
Vice President, TEKsystems Global Services
Recent News
2025-11-19
2025-10-29
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