Supervision Support Specialist Series

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.

• 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.

• 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.

• 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.

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

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)

This is a hybrid position in Tempe,AZ.

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

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…