Compliance Coordinator

Employment Type: Full-TimeAbout the RoleThe Operations Coordinator works closely with Sales Supervision Principals to ensure efficient workflows through timely paperwork processing, answering inquiries, and supporting branch offices. This role is critical in maintaining compliance with industry standards and firm policies while delivering exceptional customer service.Key ResponsibilitiesCoordinate receipt of submissions via Support Center.Manage transactions requiring suitability review (e.g., variable annuities, indexed-linked annuities, fixed-indexed annuities, non-traded alternative investments).Review paperwork for completeness and accuracy, including financial disclosures and calculations.Resolve missing or misrouted documentation.Respond to requests from Sales Supervision Managers, principals, and other departments.Assign pre-approval cases and balance workload among principals.Enter transaction data into Direct Order System.Monitor and enforce internal controls for compliance.Provide strong customer service via phone, email, and Support Center.Perform other duties as assigned.Must-Have Skills2–5 years of experience in the Investment/Brokerage industryCall Center or Back Office Brokerage experience (Investment or Annuity).Strong industry knowledge of investments.Experience as a Financial Advisor Assistant is helpful.Nice-to-Have SkillsProficiency in Excel for data entry.Series 7, Series 6, Series 63, Series 66 licenses.Familiarity with NetX360 and Pershing systems.SIE Certification.Experience with Salesforce and imaging workflow systems.Personality & Professional AttributesHigh attention to detail with strong analytical and problem-solving skills.Ability to work independently while maintaining quality standards.Strong organizational and time management skills.Ability to thrive under pressure and contribute in a team environment.If you have the required experience and are passionate about supporting compliance and operational excellence in the financial services industry, we’d love to hear from you.Job Type & LocationThis is a Contract to Hire position based out of Scottsdale, AZ.Pay and BenefitsThe pay range for this position is $20.00 - $25.00/hr.Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following: • 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)Workplace TypeThis is a hybrid position in Scottsdale,AZ.Application DeadlineThis position is anticipated to close on Dec 8, 2025.h4>About TEKsystems: We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company. The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. About TEKsystems and TEKsystems Global Services We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com. The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

Created: 2025-12-02