Compliance Specialist
$21.5 per hourAppleOne Employment Services
Compliance Associate – Regulatory Reporting 100% Remote | Monday–Friday | 8:00 AM–5:00 PM EST Pay: $21.50/hour Contract: 1 year Equipment Provided Are you detail-oriented, analytical, and interested in financial services compliance? We’re looking for a Compliance Associate – Regulatory Reporting to join a team supporting customer complaint reviews, regulatory reporting, and quality assurance. This is an excellent opportunity for someone with a background in brokerage operations, compliance, or financial services who enjoys working with data, identifying trends, and ensuring accuracy in a fast-paced environment. What You’ll Do Review 100+ customer support cases daily to determine whether they meet FINRA reporting requirements. Evaluate complaint cases for accuracy, quality, and proper reporting classifications. Review FINRA problem/product codes and identify cases requiring additional escalation. Assist with workflow improvements and troubleshooting within the complaint review process. Support the preparation and submission of quarterly FINRA 4530(d) reports. Prepare quarterly metrics and reporting for senior management. Collaborate with team members and provide support as needed. What We’re Looking For General understanding of brokerage operations and compliance functions. Strong analytical skills with the ability to identify trends and insights through data. Excellent written and verbal communication skills. Exceptional attention to detail and commitment to accuracy. Ability to work independently, manage multiple priorities, and meet deadlines. Strong collaboration skills and the ability to stay focused in a fast-paced environment. Why Consider This Opportunity? Fully remote position Opportunity to gain experience in regulatory reporting and financial services compliance #J-18808-Ljbffr AppleOne Employment Services
Vacancy posted 4 days ago
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