Compliance Coordinator Associate: Sales Supervision Coordinator

Software Guidance & Assistance, Inc., (SGA), is searching for a Compliance Coordinator Associate: Sales Supervision Coordinator for a contract assignment with one of our premier Infrastructure clients in Scottsdale, AZ.

Responsibilities :
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. 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. 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. 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

SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .

SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy.

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