Compliance Coordinator

Sales Supervision Coordinator

Hybrid - Scottsdale, AZ 85255

Pay Rate: $20 - $25/hr

Schedule: Monday - Friday, 8am - 5pm

Type: Contract to Hire

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 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 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.

• 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, including 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 inbound calls and corresponding with branch offices via phone, email and Support Center.
• All other duties as assigned.

• 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
• NetX
  360

• 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:
  NetX
  360, 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.

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

This is a Contract to Hire position based out of Scottsdale, AZ.

The 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)

This is a hybrid position in Scottsdale, AZ.

This position is anticipated to close on Jan 30, 2026.

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.