Supervision Support Specialist - Series 7

TEKsystems; Deutschland; Hybrid; EUR 30.000 - 39.000; Vollzeit

Benefits dieser Stelle

Medical, dental & vision

401(k) Retirement Plan – Pre-tax and R

Life Insurance

Short and long-term disability

Health Spending Account (HSA)

Transportation benefits

Employee Assistance Program

Time Off/Leave (PTO, Vacation or Sick)

Zusammenfassung

TEKsystems seeks a client-focused Supervision Support Specialist to be the first point of contact for financial advisors on compliance, registration, licensing and supervision inquiries. This hybrid role is based in Charlotte, NC, with responsibilities spanning regulatory guidance and support for supervision technology.

You will educate advisors on FINRA, SEC and state requirements, assist with securities registration and continuing education, and escalate complex issues to supervisory staff as

Qualifikationen

• 1-2 years of experience in a FINRA-regulated environment.

Aufgaben

• Serve as the primary contact for financial advisors on compliance, registration, licensing, and supervision inquiries.
• Handle 15-20 inbound calls per day, with peak periods during tax season.
• Provide walk-through assistance for supervision and compliance technology platforms.
• Educate advisors on FINRA, SEC, and state regulations and firm policies.
• Assist with securities registration, licensing, and continuing education requirements.
• Research and resolve advisor inquiries while ensuring regulatory compliance.
• Escalate complex matters to supervisory personnel when needed.
• Document advisor interactions, requests, and resolutions accurately.
• Collaborate with Compliance, Licensing, Registration, and Supervision teams for timely resolutions.
• Identify opportunities for process improvements and enhance the advisor experience.

Kenntnisse

FINRA SIE

Series 7

Customer service

Regulatory knowledge

Communication

Problem solving

Attention to detail

Tools

Microsoft Excel

Word

PowerPoint

Access

SharePoint

Jobbeschreibung

We are seeking a client-focused Supervision Support Specialist to serve as the first point of contact for financial advisors regarding compliance, registration, licensing, and supervision-related inquiries. This role provides guidance on FINRA, SEC, and state regulatory requirements, assists advisors with registration and licensing processes, and supports supervision technology platforms.

The ideal candidate is a strong communicator who thrives in a fast-paced environment, enjoys problem-solving, and is passionate about delivering exceptional service while helping advisors navigate complex regulatory requirements.

Key Responsibilities

• Serve as the primary point of contact for financial advisors regarding compliance, registration, licensing, and supervision-related inquiries.
• Handle an average of 15-20 inbound calls per day, with increased volume during tax season and other peak business periods.
• Provide walk-through assistance for supervision and compliance technology platforms.
• Educate advisors on FINRA, SEC, and state regulatory requirements, firm policies, and industry best practices.
• Assist advisors with securities registration, licensing, continuing education requirements, and related processes.
• Research and resolve advisor inquiries while ensuring adherence to regulatory and firm standards.
• Escalate complex compliance matters to appropriate supervisory personnel when necessary.
• Maintain accurate documentation of advisor interactions, requests, and resolutions.
• Collaborate with Compliance, Licensing, Registration, and Supervision teams to ensure timely issue resolution.
• Identify opportunities for process improvement and contribute to a positive advisor experience.

Qualifications

• 1-2 years of experience in a FINRA-regulated environment.
• Minimum 1 year of recent customer service experience.
• Active FINRA SIE, Series 7 is required.
• Working knowledge of mutual funds, annuities, general securities, and investment products.
• Understanding of FINRA, SEC, and state securities regulations.
• Excellent verbal and written communication skills.
• Strong analytical, problem-solving, and organizational skills.
• Ability to multitask effectively in a high-volume environment.
• Strong attention to detail and follow-through.

Preferred Qualifications

• 1-2 years of financial services experience supporting investment products.
• Series 63 is preferred.
• Experience with securities registration and licensing processes.
• Familiarity with insurance licensing requirements.
• Experience providing service and support for escalated advisor issues.
• Proficiency with Microsoft Office Suite, including Excel, Word, PowerPoint, Access, and SharePoint.

Job Type & Location

This is a Contract to Hire position based out of Charlotte, NC.

Pay and Benefits

The pay range for this position is $25.00 - $33.00/hr.

Individual compensation offered for this position within this range will depend on many factors, including qualifications, skills, relevant experience, job knowledge, geographic location, internal equity, and other pertinent job-related factors.

Eligibility requirements apply to some benefits and may depend on your jobclassification and length of employment. Benefits are subject to change and may besubject to specific elections, plan, or program terms. If eligible, the benefitsavailable for this temporary role may include the following:• Medical, dental & vision• Critical Illness, Accident, and Hospital• 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available• Life Insurance (Voluntary Life & AD&D for the employee and dependents)• Short and long-term disability• Health Spending Account (HSA)• Transportation benefits• Employee Assistance Program• Time Off/Leave (PTO, Vacation or Sick Leave)

Workplace Type

This is a hybrid position in Charlotte,NC.

Application Deadline

This position is anticipated to close on Sep 15, 2026.

About TEKsystems

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

About TEKsystems and TEKsystems Global Services

We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

San Francisco Fair Chance Ordinance: Pursuant to the San Francisco Fair Chance Ordinance, for all positions located in the city and county of San Francisco, we will consider for employment qualified applicants with arrest and conviction records.

Massachusetts Lie Detector: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

Use of Artificial Intelligence (AI): We may use Artificial Intelligence (AI) to support parts of our hiring process, including sourcing, screening, and evaluating candidates. AI helps assess applications and qualifications, but final decisions are made by our hiring team. By applying, you acknowledge and agree that your application may be reviewed using AI tools.