Compliance Associate

Job Title: Compliance Associate, Regulatory ReportingContract Length: 1-Year ContractPay Rate: $18-$20/hourLocation: Lake Mary, FLAbout the RoleWe are seeking a detail-oriented Compliance Associate, Regulatory Reporting to join our team on a 1-year contract. This role is ideal for someone with a strong analytical mindset, an interest in regulatory compliance, and the ability to thrive in a fast-paced environment. You'll play a key role in reviewing customer cases, ensuring regulatory accuracy, and supporting reporting requirements.What You'll DoReview 100+ customer support cases daily to determine if they meet regulatory reporting requirementsApply appropriate FINRA problem/product codes and identify escalation needsPerform quality assurance reviews of customer complaint casesAssist in improving workflows and troubleshooting the complaint review processSupport preparation and submission of quarterly FINRA 4530(d) reportsCompile and analyze quarterly metrics for senior managementCollaborate with team members and provide support across compliance functions as neededWhat We're Looking ForBachelor's degreeGeneral understanding of brokerage operations and compliance functionsStrong analytical mindset with the ability to identify trends and insights from dataSelf-starter who can work independently and take initiativeExcellent written and verbal communication skillsHigh attention to detail and strong organizational skillsAbility to multitask and prioritize effectively in a high-volume environmentStrong collaboration and partnership skillsEqual Opportunity Employer / Disabled / Protected VeteransThe Know Your Rights poster is available here:https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdfThe pay transparency policy is available here:https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_formattedESQA508c.pdfFor 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.https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf