Compliance Specialist

AppleOne; Orlando (FL); Sur place; USD 24 000 - 35 000; Plein temps

Avantages offerts par ce poste

Major medical

Dental

Vision

401k

Résumé du poste

AppleOne Employment Services in Orlando, FL seeks a detail-oriented Compliance Specialist for a 1-year contract to support regulatory reporting, complaint review, and QA activities in a brokerage and compliance setting. Early-career professional with strong research, data analysis, and teamwork will thrive here.

You will review cases for FINRA reporting, assign codes, and help prepare quarterly metrics for senior leadership, while maintaining high accuracy in a fast-paced environment.

Qualifications

• Bachelor’s degree required and 1–2 years of related experience.
• Experience with FINRA reporting and regulatory compliance a plus.
• Strong analytical skills to identify trends and issues.
• Excellent written and verbal communication.
• Detail-oriented with the ability to maintain accuracy in high-volume case reviews.

Responsabilités

• Review 100+ customer support cases daily to determine FINRA reporting requirements.
• Assign FINRA problem and product codes, identify required escalations, and document case elements.
• Perform quality assurance reviews of customer complaint cases.
• Support workflow improvement for the complaint review process.
• Assist with quarterly FINRA 4530(d) reporting.
• Prepare quarterly compliance metrics for senior management.

Connaissances

Analytical skills

Attention to detail

Written & verbal communication

Multitasking

Team collaboration

Formation

Bachelor's degree

Description du poste

Job Summary

We are seeking a detail-oriented Compliance Specialist for a 1-year contract opportunity in Orlando, FL. This role supports regulatory reporting, customer complaint review, and quality assurance activities within a fast-paced brokerage and compliance environment. As a Compliance Associate, Regulatory Reporting, you will help review customer support cases, determine FINRA reporting requirements, support quarterly reporting, and provide key metrics for senior leadership. This is an excellent opportunity for an early-career compliance professional who enjoys research, data analysis, problem solving, and working with a collaborative team focused on accuracy, accountability, and continuous improvement.

Key Responsibilities

• Review 100+ customer support cases daily to determine whether cases meet FINRA reporting requirements.
• Assign FINRA problem and product codes, identify required escalations, and document case elements accurately.
• Perform quality assurance reviews of customer complaint cases to ensure consistency and compliance.
• Support workflow improvement and troubleshooting for the complaint review process.
• Assist with preparation and submission of the quarterly FINRA 4530(d) report.
• Help prepare quarterly compliance metrics for senior management and support team members as needed.

Compensation and Benefits

• Pay Rate: $21.50 per hour.
• Job Type: Contract/Temporary.
• Contract Length: 1 year.
• Location: Orlando, FL.
• 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.

Required Qualifications and Skills

• Review customer support and complaint cases for FINRA reporting requirements.
• Support regulatory reporting activities, including quarterly FINRA 4530(d) reporting.
• Perform quality assurance reviews and assist with complaint workflow troubleshooting.
• Prepare compliance metrics and reporting materials for senior management.
• Bachelor’s degree required.
• 1 to 2 years of related experience preferred for this early-career compliance opportunity.
• General understanding of brokerage operations and compliance functions.
• Strong analytical skills with the ability to identify trends, drivers, and issues through data and metrics.
• Excellent written and verbal communication skills.
• Strong attention to detail and ability to maintain accuracy in high-volume case review.
• Self-starter with the ability to work independently and manage priorities effectively.
• Ability to multitask and remain focused in a fast-paced environment.
• Strong partnership skills and ability to collaborate with team members across functions.

Preferred Qualifications

• Experience reviewing customer complaints, regulatory matters, or financial services support cases.
• Familiarity with FINRA reporting requirements, FINRA codes, or regulatory compliance workflows.
• Prior experience supporting quality assurance, metrics preparation, or senior management reporting.

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

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.