Compliance Associate
AppleOne Employment Services
AppleOne is assisting a Fintech client with finding a compliance associate to join their team. About the Role What you’ll do day-to-day: Review 100+ Customer Support Cases daily to determine if it meets FINRA reporting requirements, FINRA Problem/Product Codes, Additional escalation, and other elements as required. Perform quality assurance review of customer complaint cases. Assist in workflow and troubleshooting of current complaint review process. Assist in preparation and submission of quarterly FINRA 4530(d) report. Assist in preparation of quarterly metrics for senior management. Assist other team members in their responsibilities as needed. Qualifications Bachelor’s Degree. Required Skills General understanding of brokerage operation and compliance functions. Passion and ability to hunt for answers, identify trends & drivers through data and metrics. Self-starter with ability to work independently. Good written and verbal communication, analytical skills and strong attention to detail. Strong communication and partnership skills. Strong ability to remain focused and see initiatives to completion. Proven ability to multi-task and effectively prioritize in a fast-paced environment. #J-18808-Ljbffr AppleOne Employment Services
Vacancy posted 2 days ago
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