Supervision Support Specialist - (Series 7)

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

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 Tempe, AZ.

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 job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available 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 Tempe,AZ.

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.