Regulatory Reporting Associate

Job Summary

We are seeking a detail-oriented Regulatory Reporting Associate for a temporary opportunity in Lake Mary, FL with a dynamic financial services team. This role is ideal for a professional with 3 to 5 years of experience who is interested in regulatory compliance, brokerage operations, customer complaint review, quality assurance, and FINRA reporting.

As a Regulatory Reporting Associate, you will support a fast-paced compliance function by reviewing high volumes of customer support cases, identifying reporting requirements, preparing metrics, and helping improve internal processes. This opportunity offers valuable exposure to financial services compliance, supportive team collaboration, and the chance to build practical experience with regulatory reporting and complaint oversight.

You will work with experienced compliance professionals in an environment that values accuracy, teamwork, accountability, and continuous improvement.

Key Responsibilities

- Review 100+ customer support cases daily to determine FINRA reporting requirements.
- Evaluate customer complaint cases for accuracy, quality assurance, and compliance alignment.
- Assign appropriate FINRA problem and product codes while identifying escalation needs.
- Support quarterly FINRA Rule 4530(d) reporting and related compliance submissions.
- Prepare quarterly compliance metrics and reporting for senior leadership.
- Analyze trends, troubleshoot workflow issues, and recommend process improvements.

Compensation and Benefits

- Employment type: Contract/Temporary.
- Pay rate: $21.50 per hour.
- Location: Lake Mary, FL.

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.

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.

Additional Skills

Required Qualifications and Skills

- Review customer complaint and support cases for regulatory reporting requirements.
- Support FINRA reporting, quality assurance reviews, and compliance metrics preparation.
- Identify trends, workflow issues, escalation needs, and process improvement opportunities.

- Bachelor’s degree required.
- General understanding of brokerage operations and compliance functions.
- 3 to 5 years of relevant professional experience preferred based on role level.
- Strong analytical, organizational, and problem-solving skills.
- Excellent attention to detail with the ability to maintain accuracy in a high-volume environment.
- Effective written and verbal communication skills.
- Ability to prioritize multiple responsibilities and meet deadlines in a fast-paced setting.
- Self-motivated with the ability to work independently and collaborate with cross-functional teams.

Preferred Qualifications

- Experience with FINRA reporting, complaint review, regulatory operations, or financial services compliance.
- Familiarity with FINRA Rule 4530(d) reporting processes.
- Experience preparing compliance metrics, quality assurance findings, or operational reports.
- Interest in growing a career in compliance, risk, brokerage operations, or financial services operations.