Compliance Specialist

Job Summary

We are seeking a detail-oriented Compliance Specialist to support regulatory reporting and customer complaint review within the financial services industry. This 1-year contract opportunity is ideal for someone early in their compliance career who wants hands-on exposure to brokerage operations, FINRA reporting requirements, quality assurance reviews, and compliance metrics.

In this role, you will work with a collaborative compliance team that values accuracy, accountability, and strong communication. The environment is well-suited for a self-starter who enjoys reviewing data, identifying trends, solving problems, and contributing to important regulatory processes. This is a strong opportunity to build practical compliance experience while supporting meaningful reporting and oversight activities.

Key Responsibilities

- Review high-volume customer support cases daily to determine whether they meet FINRA reporting requirements.
- Evaluate FINRA Problem/Product Codes, escalation requirements, and related regulatory reporting elements.
- Perform quality assurance reviews of customer complaint cases to support accuracy and consistency.
- Assist with workflow management, process troubleshooting, and improvements related to complaint review procedures.
- Support preparation and submission of quarterly FINRA 4530(d) reporting and related compliance metrics.
- Identify trends, drivers, and potential issues through case data, metrics, and reporting analysis.

Compensation and Benefits

- Pay Rate: $21.50/hour.
- Contract Length: 1 year.
- Location: Remote/Location Flexible.
- Job Type: Contract/Temporary.

Required Qualifications and Skills

- Review customer support and complaint cases for potential regulatory reporting requirements.
- Support FINRA-related reporting processes, including complaint coding, escalation review, and quarterly reporting.
- Conduct quality assurance reviews to help ensure regulatory accuracy and completeness.
- Analyze case data and metrics to identify trends, issues, and reporting insights.

- Bachelor’s degree required.
- 1 to 2 years of relevant experience or strong interest in financial services compliance, brokerage operations, or regulatory reporting.
- General understanding of brokerage operations and compliance functions.
- Strong analytical skills with the ability to investigate issues, research details, and identify accurate outcomes.
- Excellent attention to detail and commitment to quality, accuracy, and timely completion of work.
- Strong written and verbal communication skills.
- Ability to work independently, take ownership of assignments, and remain focused through completion.
- Strong organizational skills with the ability to multitask and prioritize in a fast-paced, high-volume workflow.
- Comfortable working with data, reporting metrics, and case management processes.
- Collaborative approach with the ability to partner effectively with team members and stakeholders.

Preferred Qualifications

- Exposure to FINRA reporting requirements, including FINRA Rule 4530, is preferred.
- Experience reviewing customer complaints, support cases, or compliance documentation is a plus.
- Prior experience in financial services, brokerage operations, risk, compliance, or quality assurance is helpful.
- Familiarity with regulatory reporting workflows, issue escalation, or complaint coding is beneficial.

Equal Opportunity Employer / Disabled / Protected Veterans

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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.

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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.