Supervision Support Specialist

TEKsystems•Tempe, AZ

2d•$25 - $33•Remote

About The Position

Provided first-line support for advisors and business partners regarding compliance, registration, licensing, continuing education, and supervision-related processes within a FINRA-regulated environment. Delivered exceptional customer service while assisting with technology navigation, industry regulations, and licensing requirements.

Requirements

FINRA-regulated environment experience
Series 7 licensed
Knowledge of FINRA, SEC, and state regulatory requirements
Registration and licensing support
Customer service and client support
Compliance and supervision processes
Mutual funds, annuities, and securities products
Strong verbal and written communication
Analytical problem-solving and critical thinking
Attention to detail and multitasking
Microsoft Office Suite (Excel, Word, PowerPoint, Access, SharePoint)

Responsibilities

Served as a primary point of contact for advisors regarding compliance, registration, and FINRA licensing requirements.
Guided advisors through supervision processes, continuing education obligations, and regulatory requirements.
Responded to inquiries related to FINRA, SEC, and state regulations with accuracy and professionalism.
Assisted with registration and licensing workflows, ensuring adherence to industry standards and deadlines.
Collaborated with cross-functional teams to resolve escalated issues and improve service delivery.
Maintained knowledge of evolving regulatory requirements and industry best practices.
Provided support for investment products, including mutual funds, annuities, and general securities.