Compliance Associate

Job Title:

Compliance Associate, Regulatory Reporting Contract Length:

1-

Year Contract Pay Rate:

$18-$20/hour

Location:

Lake Mary, FL About the Role We 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 Do Review 100+ customer support cases daily to determine if they meet regulatory reporting requirements Apply appropriate FINRA problem/product codes and identify escalation needs Perform quality assurance reviews of customer complaint cases Assist in improving workflows and troubleshooting the complaint review process Support preparation and submission of quarterly

FINRA 4530

(d) reports Compile and analyze quarterly metrics for senior management Collaborate with team members and provide support across compliance functions as needed What We're Looking For Bachelor's degree General understanding of brokerage operations and compliance functions Strong analytical mindset with the ability to identify trends and insights from data Self-starter who can work independently and take initiative Excellent written and verbal communication skills High attention to detail and strong organizational skills Ability to multitask and prioritize effectively in a high-volume environment Strong collaboration and partnership skills Equal Opportunity Employer / Disabled / Protected Veterans The Know Your Rights poster is available here: https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdf The pay transparency policy is available here: https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_formattedESQA508c.pdf 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.

https:

//e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf 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.