Regulatory Compliance Specialist
4 days ago
We are seeking a highly skilled Regulatory Compliance Associate to join our team on a 6-month contract. As a key member of our compliance team, you will play a vital role in ensuring that our operations adhere to regulatory requirements.
Key Responsibilities- Review customer support cases daily to ensure compliance with FINRA reporting requirements.
- Conduct quality assurance reviews of customer complaint cases.
- Assist in troubleshooting and improving workflows within the current complaint review process.
- Support the preparation and submission of the quarterly FINRA 4530(d) report.
- Contribute to the preparation of quarterly compliance metrics for senior management.
- Collaborate with team members to ensure seamless workflow and task execution.
- Bachelor's degree required.
- General understanding of brokerage operations and compliance functions.
- Strong analytical skills with a passion for identifying trends and insights through data and metrics.
- Self-motivated and capable of working independently with minimal supervision.
- Excellent written and verbal communication skills.
- Exceptional attention to detail and organizational abilities.
- Proven ability to prioritize effectively, multi-task, and meet deadlines in a fast-paced environment.
- Strong collaboration and interpersonal skills to partner effectively across teams.
As a valued member of our team, you can expect:
- A competitive salary: $55,000 - $65,000 per year, depending on experience.
- Major medical, dental, vision, and 401k benefits.
- Opportunities for professional growth and development.
- A dynamic and supportive work environment.
AppleOne is a leading workforce management company committed to keeping the humanity in Human Resources. With a presence in 33 countries, we connect great companies with outstanding talent. Our founder and CEO, Janice Bryant Howroyd, is a visionary leader who has built a reputation for excellence and innovation.
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