Compliance Coordinator Associate

JOB SUMMARY
Sales Supervision Coordinator

Pay Rate: $28.00 Per Hour
Location:18700 N. Hayden Rd Suite 255Scottsdale, AZ85255
Duration: 4 Month Contract

JOB DESCRIPTION

• 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 Sales Supervision 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 Sales Supervision 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.

Responsibilities:

• 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. This could include 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 in-bound calls and corresponding with branch offices via phone, email and Support Center.

• All other duties as assigned.