Job Summary
A Compliance Associate is needed for a long-term contract opportunity supporting regulatory reporting and customer complaint review within the financial services industry. This role is ideal for a detail-oriented compliance professional who enjoys reviewing case data, identifying trends, supporting quality assurance, and contributing to accurate FINRA reporting.
The Compliance Associate will work in a fast-paced, collaborative environment where accuracy, analytical thinking, and follow-through are essential. This opportunity offers exposure to brokerage operations, regulatory compliance processes, complaint handling, and senior management reporting. Candidates who are self-motivated, organized, and comfortable working independently will be well positioned for success.
Key Responsibilities
- Review 100+ customer support cases daily to determine whether cases meet FINRA reporting requirements.
- Evaluate customer complaint cases for quality assurance, including FINRA problem and product codes, escalation needs, and required reporting elements.
- Support workflow management and troubleshooting for the complaint review process.
- Assist with preparation and submission of the quarterly FINRA 4530(d) report.
- Help prepare quarterly compliance metrics and reporting materials for senior management.
- Partner with team members and provide support across related compliance and regulatory reporting responsibilities as needed.
Compensation and Benefits
- Pay Rate: $18.00 to $20.00 per hour.
- Job Type: Contract/Temporary.
- Contract Length: 2 years.
- Location: Orlando, FL.
- Preferred Work Arrangement: Remote.
Equal Opportunity Employer / Disabled / Protected Veterans
The Know Your Rights poster is available here:
https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdf
The pay transparency policy is available here:
https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_formattedESQA508c.pdf
For temporary assignments lasting 13 weeks or longer, AppleOne is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.
We are committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please contact your staffing representative who will reach out to our HR team.
AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf
We also consider for employment qualified applicants regardless of criminal histories, consistent with legal requirements, including, if applicable, the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance. Pursuant to applicable state and municipal Fair Chance Laws and Ordinances, we will consider for employment-qualified applicants with arrest and conviction records, including, if applicable, the San Francisco Fair Chance Ordinance. For Los Angeles, CA applicants: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.
Required Qualifications and Skills
- Review customer support and complaint cases for regulatory reporting applicability.
- Support FINRA 4530(d) reporting preparation and submission.
- Perform quality assurance reviews of complaint case documentation.
- Assist with compliance metrics, workflow troubleshooting, and escalation tracking.
- Bachelor’s degree required.
- 3 to 5 years of relevant professional experience preferred for this level of role.
- General understanding of brokerage operations and compliance functions.
- Ability to review high-volume casework with accuracy and strong attention to detail.
- Strong analytical skills with the ability to identify trends, drivers, and insights through data and metrics.
- Excellent written and verbal communication skills.
- Proven ability to multitask, prioritize effectively, and remain focused in a fast-paced environment.
- Self-starter with the ability to work independently and see initiatives through to completion.
- Strong partnership skills and the ability to collaborate effectively with internal teams.
Preferred Qualifications
- Experience with FINRA reporting, customer complaint review, or regulatory compliance in a brokerage or financial services environment.
- Familiarity with FINRA problem codes, product codes, escalation processes, and complaint handling requirements.
- Prior experience preparing compliance metrics or management reporting.