Job Summary
We are seeking a detail-oriented Compliance Associate for a 1-year contract opportunity supporting regulatory reporting and customer complaint review within the financial services industry. This role is ideal for an early-career compliance professional with a strong interest in brokerage operations, FINRA reporting requirements, quality assurance, and regulatory controls.
The Compliance Associate will review a high volume of customer support cases, evaluate whether cases meet FINRA reporting criteria, support quarterly reporting activities, and help improve complaint review workflows. This is a strong opportunity to gain hands-on regulatory reporting experience in a professional, process-driven environment with supportive team collaboration, exposure to senior management reporting, and meaningful work tied to compliance accuracy and risk management.
Key Responsibilities
- Review 100+ customer support cases daily to determine whether they meet FINRA reporting requirements.
- Assign and validate FINRA problem/product codes, escalation requirements, and other required reporting elements.
- Perform quality assurance reviews of customer complaint cases for accuracy, completeness, and compliance alignment.
- Assist with workflow management and troubleshooting within the complaint review process.
- Support preparation and submission of the quarterly FINRA 4530(d) report.
- Assist with quarterly metrics preparation for senior management and provide support to team members as needed.
Compensation and Benefits
- Pay Rate: $18 to $20 per hour.
- Contract Length: 1 year.
- Work Arrangement: Remote, but candidates must live within a reasonable commuting distance of the Lake Mary, FL office for onsite needs as required.
- Job Type: Contract/Temporary.
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 FINRA regulatory reporting requirements.
- Support FINRA 4530(d) quarterly reporting and senior management metrics preparation.
- Perform quality assurance checks on complaint cases and reporting elements.
- Assist with complaint review workflow, escalations, troubleshooting, and process support.
- Bachelor’s degree required.
- 1-2 years of relevant professional experience preferred, ideally in compliance, financial services, brokerage operations, regulatory reporting, customer complaint review, or a related function.
- General understanding of brokerage operations and compliance functions.
- Strong analytical skills with the ability to identify trends, investigate details, and interpret data or case information.
- Excellent written and verbal communication skills with strong attention to detail.
- Self-starter with the ability to work independently while partnering effectively with internal teams.
- Proven ability to multitask, prioritize workload, and stay focused in a fast-paced environment.
- Strong follow-through with the ability to see initiatives and case reviews through to completion.
Preferred Qualifications
- Familiarity with FINRA reporting requirements, including FINRA 4530(d).
- Experience reviewing customer complaints or customer support cases in a financial services environment.
- Prior exposure to regulatory coding, escalation processes, quality assurance, or compliance metrics reporting.