Compliance Associate
Job Description
We are seeking a detail-oriented Compliance Associate for a 1-year contract opportunity supporting regulatory reporting and quality assurance within the financial services industry. This fully remote role is ideal for a compliance-minded professional who enjoys reviewing data, evaluating customer complaint activity, and ensuring accurate FINRA reporting.
The Compliance Associate will join a collaborative compliance function with supportive leadership, strong team communication, and meaningful exposure to regulatory operations. This is a great opportunity to build experience in brokerage compliance, complaint review, FINRA coding, and quarterly regulatory reporting while working in a remote environment.
Key Responsibilities
- Review a high volume of customer support cases daily to determine FINRA reporting requirements.
- Assign FINRA problem and product codes and complete required escalations accurately.
- Conduct quality assurance reviews of customer complaint cases for completeness, accuracy, and regulatory impact.
- Support workflow improvements, process troubleshooting, and complaint review procedures.
- Assist with preparation and submission of quarterly FINRA 4530(d) reports.
- Prepare quarterly reporting metrics and updates for senior leadership.
Compensation and Benefits
- Pay rate: $21.50 per hour.
- Job type: Contract/Temporary.
- Contract length: 1 year.
- Work arrangement: 100% remote.
- Location preference: Florida or Texas candidates preferred.
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, the Company 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.
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