14 days old

Sales Supervision Coordinator

Advisor Group
Phoenix, AZ 85003
  • Job Code
    00923005287
Compliance Support Opportunity in Financial Services

Sales Supervision Coordinator

Location: 20 E. Thomas Road, Phoenix, AZ 85012

INTERNAL APPLICANTS: All qualified internal applicants, irrespective of location, will be considered for all internally posted roles at this time. Compensation range displayed in internal postings is the national average, and compensation decisions will be employee-location based.

Summary:

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 departmental deadlines. Our selected candidate will support the department by coordinating the receipt of transaction submissions via an electronic imaging system and record the information in approved systems and applications for tracking and reporting purposes. This individual 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 Salesforce and Quick Submit.
  • Daily coordination of all transactions requiring suitability review to include, but not limited to, Variable Annuities and Non-Traded Alternative Investments.
  • Reviews paperwork for completeness and accuracy while processing transactions submitted for review
  • 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 work load of the principals is balanced
  • Works with Sales Supervision principals and managers and branch offices to address and resolve deficiencies in submissions.
  • Enter Variable Annuity transaction data into Direct Order System
  • Organize and prepare data in Excel for Auto Blotter upload
  • 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 ServiceNet.
  • All other duties as assigned

Education Requirements:

  • High school diploma (or equivalent) is required.

Basic Requirements:

  • Two years or more of customer service and/or administrative experience in a financial environment.
  • Proficient with Windows and MS applications such as Word, Excel, and Outlook required.
  • Must be detail oriented
  • Ability to perform self-review and correct own work product without close supervision.
  • Ability to work in a fast-paced environment and meet pre-determined deadlines.

Preferred Requirements:

  • FINRA Series 7 and 63 preferred
  • Experience with Salesforce is highly desirable.






Posted: 2020-10-05 Expires: 2020-11-03
Sponsored by:
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Sponsored by:
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Sales Supervision Coordinator

Advisor Group
Phoenix, AZ 85003

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