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 ...