Junior Compliance Specialist – FINRA Reporting

AppleOne Employment Services; Orlando (FL); On-site; USD 24,000 - 35,000; Full time

Benefits offered by this job

Major medical

Dental

Vision

401k

Job summary

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.

Responsibilities

• 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.

Skills

Analytical skills

Attention to detail

Written & verbal communication

Multitasking

Team collaboration

Education

Bachelor's degree

Job description

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.