Associate Analyst

Compliance Specialist

This position requires a professional to support compliance functions within a financial services environment. The role involves reviewing regulatory disclosure items, ensuring adherence to standards, and maintaining meticulous records. The specialist will interact with representatives to gather information and ensure all processes are correctly followed and documented.

Key Responsibilities:

• Review and approve regulatory disclosure items for registered representatives.
• Follow up as needed to obtain additional information from representatives.
• Navigate through various online systems and compliance tools.
• Analyze responses to determine when additional follow-up or escalation is necessary.
• Prioritize and manage multiple requests effectively.
• Maintain excellent records and documentation of all activities.
• Provide a high level of customer service to internal stakeholders.

Everforth Apex is a world-class IT services company that serves thousands of clients across the globe. When you join Everforth Apex, you become part of a team that values innovation, collaboration, and continuous learning. We offer quality career resources, training, certifications, development opportunities, and a comprehensive benefits package. Our commitment to excellence is reflected in many awards.

Everforth Apex Systems is an equal opportunity employer. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex, age, sexual orientation, gender identity, national origin, ancestry, citizenship, genetic information, registered domestic partner status, marital status, disability, status as a crime victim, protected veteran status, political affiliation, union membership, or any other characteristic protected by law.