Compliance Specialist, Finance & Banking

100% Remote | Monday–Friday | 8:00 AM–5:00 PM EST

Pay: $21.50/hour

Contract:

1 year

Are you detail-oriented, analytical, and interested in financial services compliance? We’re looking for a Compliance Associate – Regulatory Reporting to join a team supporting customer complaint reviews, regulatory reporting, and quality assurance.

This is an excellent opportunity for someone with a background in brokerage operations, compliance, or financial services who enjoys working with data, identifying trends, and ensuring accuracy in a fast-paced environment.

• Review 100+ customer support cases daily to determine whether they meet FINRA reporting requirements.
• Evaluate complaint cases for accuracy, quality, and proper reporting classifications.
• Review FINRA problem/product codes and identify cases requiring additional escalation.
• Assist with workflow improvements and troubleshooting within the complaint review process.
• Support the preparation and submission of quarterly FINRA 4530(d) reports.
• Prepare quarterly metrics and reporting for senior management.
• Collaborate with team members and provide support as needed.

• General understanding of brokerage operations and compliance functions.
• Strong analytical skills with the ability to identify trends and insights through data.
• Excellent written and verbal communication skills.
• Exceptional attention to detail and commitment to accuracy.
• Ability to work independently, manage multiple priorities, and meet deadlines.
• Strong collaboration skills and the ability to stay focused in a fast-paced environment.

Fully remote position

Opportunity to gain experience in regulatory reporting and financial services compliance