Regulatory Analyst - Remote, Lake Mary FL

Compliance Analyst – Regulatory Reporting (Contract)

Contract:

1 Year
Pay: $18–$20/hour

Location:

Remote (must live within commuting distance to Lake Mary, FL)

We are seeking a Compliance Analyst – Regulatory Reporting to support FINRA complaint review and regulatory reporting within a financial services environment. This role focuses on customer complaint analysis, quality assurance, and preparation of FINRA Rule 4530(d) reports.

• Review 100+ customer complaint cases daily for FINRA reporting requirements
• Apply FINRA Problem and Product Codes and escalation criteria
• Perform quality assurance reviews of complaint cases
• Assist with FINRA 4530(d) quarterly reports
• Support compliance metrics and reporting for senior management
• Help improve complaint review workflows and processes

• Bachelor’s degree required
• Knowledge of brokerage operations or compliance functions
• Strong analytical skills and attention to detail
• Ability to work independently in a remote environment
• Excellent written and verbal communication skills
• Ability to multitask and prioritize in a fast-paced setting

Equal Opportunity Employer / Disabled / Protected Veterans

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.