Account Support Specialist

Job Title:
Compliance Coordinator Associate

Location:
Scottsdale, AZ (Hybrid - 4 days/week onsite)

Duration: 90-day project with possible extension

Specific Skill needed: Microsoft application experience; financial background is preferred but not required; office experience; great verbal and written communication; general technical skills; and phone skills.

• Coordinate and manage receipt of transaction submissions through the Support Center and electronic imaging systems
• Support daily processing of transactions requiring suitability review, including variable annuities, indexed-linked annuities, fixed-indexed annuities, and non-traded alternative investments
• Review submitted documentation for completeness, accuracy, and compliance with established guidelines, including basic financial disclosures and calculations
• Identify, resolve, and follow up on missing, incomplete, or misrouted documentation
• Respond to inquiries from Sales Supervision Managers, Principals, and internal departments regarding transaction submissions
• Assign pre-approval cases to Sales Supervision Principals and help balance daily review workloads
• Collaborate with principals, managers, and branch offices to resolve submission deficiencies in a timely manner
• Enter and maintain accurate transaction data in the Direct Order System
• Monitor, report on, and help enforce internal controls to ensure adherence to firm policies and industry regulations
• Deliver high-quality customer service by handling inbound calls and corresponding with branch offices via phone, email, and Support Center tools
• Perform additional duties as assigned to support departmental objectives