Regulatory Analyst - Remote, Lake Mary FL
Compliance Analyst - Regulatory Reporting (Contract)Contract: 1 YearPay: $18-$20/hourLocation: Remote (must live within commuting distance to Lake Mary, FL)Job SummaryWe are seeking a Compliance Analyst - Regulatory Reporting to support FINRA complaint review and regulatory reporting within a financial services environment. This role focuses on customer complaint analysis, quality assurance, and preparation of FINRA Rule 4530(d) reports.Key ResponsibilitiesReview 100+ customer complaint cases daily for FINRA reporting requirementsApply FINRA Problem and Product Codes and escalation criteriaPerform quality assurance reviews of complaint casesAssist with FINRA 4530(d) quarterly reportsSupport compliance metrics and reporting for senior managementHelp improve complaint review workflows and processesQualificationsBachelor's degree requiredKnowledge of brokerage operations or compliance functionsStrong analytical skills and attention to detailAbility to work independently in a remote environmentExcellent written and verbal communication skillsAbility to multitask and prioritize in a fast-paced settingEqual 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