Compliance Coordinator Associate

Job Summary

The Sales Supervision Coordinator supports the Sales Supervision function by ensuring efficient workflows, accurate documentation, and compliance with internal policies and applicable industry standards. This role is responsible for processing transaction submissions, coordinating with branch offices, and assisting managers and principals to ensure timely, accurate, and compliant operations.

Job Responsibilities

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  Coordinate the receipt of transaction submissions through the Support Center and electronic imaging systems.

  
  
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  Review submitted documentation for completeness and accuracy, including financial disclosures and related calculations.

  
  
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  Manage daily coordination of transactions requiring suitability review, including variable annuities, indexed-linked annuities, fixed-indexed annuities, and non-traded alternative investments.

  
  
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  Identify, resolve, and follow up on missing, incomplete, or misrouted documentation.

  
  
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  Respond to inquiries from Sales Supervision Managers, principals, and internal departments regarding transaction submissions.

  
  
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  Assign pre-approval cases to principals and balance daily workloads to support operational efficiency.

  
  
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  Collaborate with principals, managers, and branch offices to resolve deficiencies and ensure submission accuracy.

  
  
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  Enter and maintain transaction data within internal order management systems.

  
  
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  Monitor, report, and support enforcement of internal controls to ensure compliance with policies and regulatory standards.

  
  
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  Provide customer service support by handling inbound calls and communicating with branch offices via phone, email, and internal systems.

  
  
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  Perform additional duties as assigned to support the Sales Supervision team.

  
  

Job Requirements

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  Strong attention to detail with effective organizational and time management skills.

  
  
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  Ability to manage multiple priorities and meet deadlines in a fast-paced environment.

  
  
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  Excellent written and verbal communication skills with a customer-focused approach.

  
  
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  Proficiency in data entry and experience working with electronic imaging or document management systems.

  
  
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  Knowledge of financial products such as annuities and alternative investments is preferred.

  
  

Education

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  High school diploma or equivalent required.

  
  
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  Associate or bachelor's degree preferred.

  
  

Work Experience

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  Prior experience in financial services, compliance, operations, or administrative support is preferred.

  
  

Benefits

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  Health insurance

  
  
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  Dental insurance

  
  
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  Vision insurance

  
  
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  401(k)