Regulatory Compliance Specialist

4 days ago


Lake Mary, Florida, United States AppleOne Full time
Job Overview

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.
Requirements
  • 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.
Benefits

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.
About AppleOne

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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