Compliance/Supervision Specialist

About the role

This role supports advisors and clients by reviewing investment transactions, including new account openings, subsequent transactions, and trade activity, to ensure compliance with regulatory requirements and company policies. The ideal candidate is detail-oriented, able to make sound decisions in a fast-paced environment, and comfortable balancing risk management with a strong customer service mindset. While prior compliance knowledge is beneficial, the team will provide training on applicable regulations, policies, and procedures.

Responsibilities

• Review investment transactions and account activity for compliance with regulatory and internal requirements
• Support advisors and clients through a phone queue, answering questions and providing guidance
• Monitor and evaluate trade activity to identify potential compliance concerns
• Document findings and escalate issues when appropriate
• Partner with internal stakeholders to ensure timely and accurate transaction processing

Qualifications

• Bachelor's degree required
• 2-3 years of financial services industry experience
• Active Series 7/24 or Series 9/10 registrations
• Proficiency with Microsoft Word, Excel, Adobe, and SharePoint
• Advertising compliance experience preferred

What We're Looking For

• Strong attention to detail and analytical skills
• Ability to work independently and take ownership of responsibilities
• Customer-focused approach with strong communication skills
• Ability to make decisions with limited information while maintaining appropriate due diligence
• Coachable, adaptable, and open to feedback

Benefits

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.