Supervision Support Professional

6 days ago

Tempe AZ, United States Associate Staffing Full time

The Company A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.

This role is part of the Supervision Support team and serves as a key resource for advisors and internal partners by providing guidance on supervision-related platforms, industry regulations, and licensing or continuing education requirements. Team members act as the first point of contact for a wide range of inquiries, combining regulatory knowledge with a strong customer service approach.

We’re seeking collaborative, service-oriented professionals who thrive in fast-paced environments. 1+ year of recent customer service experience within financial services
~ Knowledge of FINRA, SEC, and state regulatory requirements
~ Quick learner with ability to adapt in a dynamic environment
~ Financial services experiences focused on investment products.
Proactive collaboration and service-based responses with business partners on escalated issues
Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and SharePoint.

Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.

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