Compliance Specialist

AppleOne Employment Services; Florida; Remote; USD 24,000 - 35,000; Full time

Benefits offered by this job

Remote work

1-year contract

Job summary

AppleOne Employment Services is seeking a Compliance Associate – Regulatory Reporting for a 100% remote role with standard hours (8:00 AM–5:00 PM EST). The position is a 1-year contract focusing on regulatory reporting, customer complaint reviews, and quality assurance within a fast-paced financial services environment.

Ideal candidates will bring brokerage operations or compliance experience, strong data analytics, and meticulous attention to detail to ensure accurate reporting and timely

Qualifications

• Background in brokerage operations, compliance, or financial services.
• Strong analytical skills to identify trends and insights from data.
• Excellent written and verbal communication skills.
• Exceptional attention to detail and accuracy.
• Ability to work independently, manage multiple priorities, and meet deadlines.

Responsibilities

• Review 100+ customer support cases daily to determine FINRA reporting requirements.
• Evaluate complaint cases for accuracy, quality, and proper reporting classifications.
• Review FINRA problem/product codes and identify cases needing escalation.
• Assist with workflow improvements and troubleshooting within the complaint review process.
• Support the preparation and submission of quarterly FINRA 4530(d) reports.
• Prepare quarterly metrics and reporting for senior management.
• Collaborate with team members and provide support as needed.

Skills

Analytical skills

Attention to detail

Communication skills

Time management

Independent worker

Team collaboration

Job description

Compliance Associate – Regulatory Reporting

100% Remote | Monday–Friday | 8:00 AM–5:00 PM EST

Pay: $21.50/hour

Contract: 1 year

Equipment Provided

Are you detail-oriented, analytical, and interested in financial services compliance? We’re looking for a Compliance Associate – Regulatory Reporting to join a team supporting customer complaint reviews, regulatory reporting, and quality assurance.

This is an excellent opportunity for someone with a background in brokerage operations, compliance, or financial services who enjoys working with data, identifying trends, and ensuring accuracy in a fast-paced environment.

What You’ll Do

• Review 100+ customer support cases daily to determine whether they meet FINRA reporting requirements.
• Evaluate complaint cases for accuracy, quality, and proper reporting classifications.
• Review FINRA problem/product codes and identify cases requiring additional escalation.
• Assist with workflow improvements and troubleshooting within the complaint review process.
• Support the preparation and submission of quarterly FINRA 4530(d) reports.
• Prepare quarterly metrics and reporting for senior management.
• Collaborate with team members and provide support as needed.

What We’re Looking For

• General understanding of brokerage operations and compliance functions.
• Strong analytical skills with the ability to identify trends and insights through data.
• Excellent written and verbal communication skills.
• Exceptional attention to detail and commitment to accuracy.
• Ability to work independently, manage multiple priorities, and meet deadlines.
• Strong collaboration skills and the ability to stay focused in a fast-paced environment.

Why Consider This Opportunity?

Fully remote position

Opportunity to gain experience in regulatory reporting and financial services compliance