Compliance Coordinator

TEKsystems•Scottsdale, AZ

5d•$20 - $25•Hybrid

About The Position

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.

Requirements

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
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 Haves

SIE Certification
Series licensing (Series 6, Series 7, Series 63, Series 66)
Experience working with NetX360/Salesforce/Pershing clearing house

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