New

Compliance Coordinator Associate

Equiliem
United States, Arizona, Scottsdale
Jan 15, 2026
Sales Supervision Coordinator Scottsdale, AZ Pay : $26.50 per hour 25-31937 Job Summary The Sales Supervision Coordinator supports the Sales Supervision team by ensuring efficient workflows, accurate documentation, and compliance with firm policies and industry standards. This role involves processing transaction submissions, coordinating with branch offices, and assisting managers and principals to maintain timely and accurate operations. Job Responsibilities Coordinate receipt of transaction submissions via the Support Center and electronic imaging systems. Review paperwork for completeness and accuracy, including financial disclosures and related calculations. Manage daily coordination of transactions requiring suitability review, including variable annuities, indexed-linked annuities, fixed-indexed annuities, and non-traded alternative investments. Resolve missing or misrouted documentation and reconcile discrepancies. Respond to inquiries from Sales Supervision Managers, principals, and other departments regarding submissions. Assign pre-approval cases to principals and balance daily workloads. Collaborate with principals, managers, and branch offices to address and resolve deficiencies in submissions. Enter transaction data into the Direct Order System. Monitor, report, and enforce internal controls to ensure compliance with policies and industry standards. Provide customer service support by handling inbound calls and corresponding with branch offices via phone, email, and Support Center. Perform other duties as assigned. Job Requirements Strong attention to detail and organizational skills. Ability to manage multiple tasks and meet deadlines in a fast-paced environment. Excellent communication and customer service skills. Proficiency in data entry and familiarity with electronic imaging systems. Knowledge of financial products such as annuities and alternative investments preferred. Education High school diploma or equivalent required; associate or bachelor's degree preferred. Work Experience Previous experience in financial services, compliance, or administrative support preferred. #ZR