Regulatory Compliance Support Specialist

TEKsystems; Tempe (AZ); Hybrid; USD 34,000 - 45,000; Full time

Benefits offered by this job

Medical, dental & vision

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

Life Insurance (Voluntary Life & AD&D)

Short and long-term disability

Health Spending Account (HSA)

Transportation benefits

PTO / Vacation or Sick Leave

Job summary

TEKsystems in Tempe, AZ seeks a client-focused Supervision Support Specialist to assist financial advisors with compliance, registration, licensing, and supervision inquiries. You will guide advisors on FINRA, SEC and state regulatory requirements and support registration and licensing processes across supervision technology platforms.

This role thrives on clear communication, problem solving, and delivering exceptional service while helping advisors navigate complex regulatory requirements.

Qualifications

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

Responsibilities

• Serve as the primary point of contact for advisory compliance inquiries.
• Handle 15-20 inbound calls per day; peak periods may vary.
• Walk-through assistance for supervision and compliance platforms.
• Educate advisors on FINRA/SEC/state regulations and firm policies.
• Assist with securities registration and licensing processes.
• Research and resolve advisor inquiries with regulatory compliance in mind.
• Escalate complex matters to supervision as needed.
• Maintain accurate documentation of advisor interactions.
• Collaborate with Compliance, Licensing, Registration and Supervision teams.
• Identify opportunities to improve processes and advisor experience.

Skills

FINRA-regulated experience

Customer service

SIE

Series 7

Regulatory knowledge

Communication skills

Analytical thinking

Multitasking

Attention to detail

Tools

Microsoft Office Suite

Job description

TEKsystems in Tempe, AZ seeks a client-focused Supervision Support Specialist to assist financial advisors with compliance, registration, licensing, and supervision inquiries. You will guide advisors on FINRA, SEC and state regulatory requirements and support registration and licensing processes across supervision technology platforms.

This role thrives on clear communication, problem solving, and delivering exceptional service while helping advisors navigate complex regulatory requirements.