About the role

Compliance Specialist (Remote Compliance Associate)

Role Overview Join a fast-paced compliance team supporting regulatory reporting and quality assurance for the financial services industry. This role is 100% remote, with a preference for candidates located in Florida or Texas.

Responsibilities

Review 100+ customer support cases daily to determine applicable FINRA reporting requirements
Analyze customer complaint cases and perform quality assurance reviews
Assist with quarterly FINRA 4530(d) regulatory reporting
Identify trends, support process improvements, and troubleshoot workflows
Prepare quarterly reporting metrics for senior leadership
Partner with teammates on day-to-day compliance activities and special projects

Requirements

Bachelor’s degree highly preferred
General understanding of brokerage operations and compliance functions
Strong analytical skills and exceptional attention to detail
Excellent written and verbal communication
Ability to manage multiple priorities in a fast-paced environment
Self-starter comfortable working independently

Nice to Haves

Experience or interest in regulatory compliance within financial services

About AppleOne Employment Services

AppleOne Employment Services is a staffing and employment services provider that connects candidates with client companies for a range of professional roles. The posting focuses on regulatory compliance work in the financial services domain.