Supervision Support Specialist

Description

Provided first-line support for advisors and business partners regarding compliance, registration, licensing, continuing education, and supervision-related processes within a FINRA-regulated environment. Delivered exceptional customer service while assisting with technology navigation, industry regulations, and licensing requirements.

Key Responsibilities

• Served as a primary point of contact for advisors regarding compliance, registration, and FINRA licensing requirements.
• Guided advisors through supervision processes, continuing education obligations, and regulatory requirements.
• Responded to inquiries related to FINRA, SEC, and state regulations with accuracy and professionalism.
• Assisted with registration and licensing workflows, ensuring adherence to industry standards and deadlines.
• Collaborated with cross-functional teams to resolve escalated issues and improve service delivery.
• Maintained knowledge of evolving regulatory requirements and industry best practices.
• Provided support for investment products, including mutual funds, annuities, and general securities.

Skills & Qualifications

• FINRA-regulated environment experience
• Series 7 licensed
• Knowledge of FINRA, SEC, and state regulatory requirements
• Registration and licensing support
• Customer service and client support
• Compliance and supervision processes
• Mutual funds, annuities, and securities products
• Strong verbal and written communication
• Analytical problem-solving and critical thinking
• Attention to detail and multitasking
• Microsoft Office Suite (Excel, Word, PowerPoint, Access, SharePoint)

Job Type & Location

This is a Contract to Hire position based out of Tempe, AZ.

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

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)

This is a fully remote position.

This position is anticipated to close on Aug 25, 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.