Compliance Coordinator Associate

Company: TRC Talent Solutions
Location: Phoenix
Posted on: January 11, 2026

Job Description:

Job Description Job Description Job Title: Compliance Coordinator Associate Location: Scottsdale, AZ (Hybrid) Shift: 8am-5pm Pay: $22-24 (DOE) Essential Job Duties & Responsibilities: Coordinate the receipt of submissions via the Support Center and electronic imaging systems. Manage daily coordination of transactions requiring suitability review (e.g., variable annuities, indexed-linked annuities, fixed-indexed annuities, non-traded alternative investments). Review paperwork for completeness and accuracy, including financial disclosures and guideline-related calculations. Resolve missing or incomplete documentation and reconcile misrouted materials to the correct case or department. Enter transaction data into the Direct Order System and other approved applications. Assign Pre-Approval cases to Principals and help balance daily workload distribution. Partner with Principals, managers, and branch offices to address and resolve deficiencies in submissions. Monitor and enforce internal controls to maintain compliance with industry standards and firm policies. Provide customer service by answering inbound calls and corresponding with branch offices via phone, email, and Support Center communications. Assist with rate communications, administrative projects, and non-phone tasks as assigned. Support the team by reviewing incoming electronic submissions, identifying missing items, and preparing packets for Principal review. Perform various administrative tasks, data review, and follow-up assignments. Qualifications & Requirements: Minimum 2 years of relevant experience (administrative, operations, compliance, financial services, or transferable skills). High School Diploma or equivalent required; College degree preferred. Proficiency with Microsoft applications (Outlook, Excel, Word, Teams). Strong written and verbal communication skills. Ability to take ownership, follow through on tasks, and work independently. General technical proficiency and comfort using multiple systems/applications. TRC Talent Solutions is proud to be an Equal Opportunity Employer (EOE). All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, protected veteran status, disability status, sexual orientation, gender identity or expression, marital status, genetic information, or any other characteristic protected by law.

Keywords: TRC Talent Solutions, Glendale , Compliance Coordinator Associate, Administration, Clerical , Phoenix, Arizona