Job#: 3045520 Job Description: Associate Analyst
Location: Tempe, Arizona or Fort Mill, South Carolina (Hybrid)
Role Overview
We are seeking an Associate Analyst for a role in the financial services industry. The ideal candidate will be responsible for processing and maintaining advisor registration records, ensuring compliance with regulatory standards, and supporting various operational tasks. This position requires strong attention to detail, the ability to manage multiple priorities, and an interest in long-term growth within the organization.
Key Responsibilities
- Review and approve regulatory disclosure items for registered representatives.
- Process and maintain Form U4 and U5 records.
- Handle registration status changes and updates.
- Update advisor information, including address changes and office transfers.
- Assist with split numbers and rep ID requests.
- Follow up as needed for additional information from representatives.
- Support registration-related inquiries and operational tasks.
- Participate in data cleanup initiatives.
- Analyze responses and identify when additional follow-up or escalation is needed.
- Prioritize multiple requests and maintain detailed records and documentation.
Required Qualifications
Experience: 2+ years of experience in registrations, licensing, compliance supervision, or business transition functions.
Skills:- Experience onboarding advisors or employees and supporting registration-related processes.
- Proactive, adaptable, and willing to learn.
- Comfortable handling a variety of tasks across multiple functional areas.
- Customer service skills.
Preferred Qualifications
- Industry licenses and/or SIE.
- Mortgage loan processing experience.
- Experience with data cleanup or data quality initiatives.
Systems & Tools
Familiarity with the following systems is beneficial:
- Oracle
- Comergence
- FINRA Gateway
- CRD (Central Registration Depository)
- Microsoft Dynamics
- RegEd
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, including ClearlyRateds Best of Staffing in Talent Satisfaction in the United States and Great Place to Work in the United Kingdom and Mexico.
Everforth Apex uses a virtual recruiter as part of the application process. Click for more details. By applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from Everforth Apex and its affiliates, and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy at
Everforth Apex Benefits Overview: Everforth Apex offers a range of supplemental benefits, including medical, dental, vision, life, disability, and other insurance plans that offer an optional layer of financial protection. We offer an ESPP (employee stock purchase program) and a 401K program which allows you to contribute typically within 30 days of starting, with a company match after 12 months of tenure. Everforth Apex also offers a HSA (Health Savings Account on the HDHP plan), a SupportLinc Employee Assistance Program (EAP) with up to 8 free counseling sessions, a corporate discount savings program and other discounts. In terms of professional development, Everforth Apex hosts an on-demand training program, provides access to certification prep and a library of technical and leadership courses/books/seminars once you have 6+ months of tenure, and certification discounts and other perks to associations that include CompTIA and IIBA. Everforth Apex has a dedicated customer service team for our Consultants that can address questions around benefits and other resources, as well as a certified Career Coach. You can access a full list of our benefits, programs, support teams and resources within our 'Welcome Packet' as well, which an Everforth Apex team member can provide.
Everforth Apex Systems is an equal opportunity employer. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), 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. Everforth Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law.
If you require an accommodation under the Americans with Disabilities Act to participate in an interview with a virtual recruiter or to use our website for a search or application, please contact our Benefits Department at or . Please note that this contact information is strictly to be used for medical ADA accommodations and that no other inquiries will be answered.
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