Compliance Associate, Regulatory Reporting

Job Title: Compliance Associate, Regulatory Reporting Contract Duration: 12 Months Location: Remote (Must reside within reasonable commuting distance to Lake Mary, FL for occasional onsite needs) Pay Rate: $18–$20/hour Position Overview We are seeking a detail-oriented and analytical Compliance Associate to support regulatory reporting and complaint review functions within a fast-paced financial services environment. This role plays a key part in ensuring adherence to FINRA reporting requirements, maintaining data accuracy, and supporting internal compliance processes. The ideal candidate is highly organized, proactive, and comfortable working independently while managing a high volume of case reviews. Key Responsibilities Review a high volume (100+ daily) of customer support cases to assess applicability to FINRA reporting requirements Accurately assign FINRA Problem/Product Codes and identify escalation needs as appropriate Perform quality assurance reviews of customer complaint cases to ensure consistency and compliance Assist in monitoring, troubleshooting, and improving current complaint review workflows and processes Support the preparation and submission of quarterly FINRA Rule 4530(d) reports Contribute to the development of quarterly reporting metrics for senior leadership Collaborate with team members and provide support across compliance-related initiatives as needed Qualifications Bachelor’s degree required Foundational understanding of brokerage operations and compliance functions preferred Strong analytical skills with the ability to identify trends and draw insights from data Demonstrated ability to work independently and take initiative in problem-solving Excellent written and verbal communication skills High level of attention to detail and organizational skills Proven ability to manage multiple priorities in a fast-paced, deadline-driven environment Preferred Attributes Experience in financial services, compliance, risk, or regulatory environments Familiarity with FINRA regulations and reporting standards Background in quality assurance, case review, or audit functions Apply Now! Equal Opportunity Employer / Disabled / Protected Veterans The Know Your Rights poster is available here: The pay transparency policy is available here: 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. 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. #J-18808-Ljbffr AppleOne Employment Services