Registration Coordinator - Financial Services (Supervision Support)

TEKsystems • Tempe, AZ

2d • $20 - $23 • Hybrid

About The Position

We are seeking a Registration & Compliance Specialist to support advisor licensing, registration, and regulatory processing activities within a large financial services organization. This role is ideal for someone who enjoys detail-oriented work, follows established procedures carefully, and can manage multiple requests while providing excellent customer service. You will work with advisors and internal teams to ensure registration and licensing information is processed accurately and efficiently.

Requirements

• 1+ year of experience in financial services, insurance, or a related industry
• Experience supporting registration, licensing, compliance, or operational processes
• Familiarity with FINRA regulations, licensing activities, or related registration processes
• Strong written and verbal communication skills
• Strong attention to detail and organizational skills
• Ability to manage multiple priorities in a fast-paced environment
• Ability to work independently while following established procedures
• Proficiency with Microsoft Word and Excel
• Experience maintaining accurate records and documentation

Nice To Haves

• Bachelor's degree
• Previous experience supporting financial advisors
• Experience using RegEd or similar registration and licensing platforms
• Broker-dealer, wealth management, or investment industry experience
• Customer service experience supporting internal or external stakeholders

Responsibilities

• Process state registrations and licensing-related requests
• Submit FINRA exam requests and registration updates
• Handle advisor information changes, including name and contact updates
• Review submitted information for completeness and accuracy
• Follow up with advisors for missing documentation or clarification
• Escalate complex issues when appropriate
• Maintain accurate records and documentation
• Work within registration, compliance, and workflow systems
• Respond to advisor questions through phone and written communication
• Support administrative and data entry functions as needed

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)

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree