Compliance Specialist, Business

We are seeking a detail-oriented Compliance Specialist for a 1-year contract opportunity in Orlando, FL. This role supports regulatory reporting, customer complaint review, and quality assurance activities within a fast-paced brokerage and compliance environment. As a Compliance Associate, Regulatory Reporting, you will help review customer support cases, determine FINRA reporting requirements, support quarterly reporting, and provide key metrics for senior leadership.

This is an excellent opportunity for an early-career compliance professional who enjoys research, data analysis, problem solving, and working with a collaborative team focused on accuracy, accountability, and continuous improvement.

• Review 100+ customer support cases daily to determine whether cases meet FINRA reporting requirements.
• Assign FINRA problem and product codes, identify required escalations, and document case elements accurately.
• Perform quality assurance reviews of customer complaint cases to ensure consistency and compliance.
• Support workflow improvement and troubleshooting for the complaint review process.
• Assist with preparation and submission of the quarterly FINRA 4530(d) report.
• Help prepare quarterly compliance metrics for senior management and support team members as needed.

• Pay Rate: $21.50 per hour.
• Job Type: Contract/Temporary.
• Contract Length: 1 year.
• Location:
  
  Orlando, FL.
• For temporary assignments lasting 13 weeks or longer, Apple One is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.

• Review customer support and complaint cases for FINRA reporting requirements.
• Support regulatory reporting activities, including quarterly FINRA 4530(d) reporting.
• Perform quality assurance reviews and assist with complaint workflow troubleshooting.
• Prepare compliance metrics and reporting materials for senior management.
• Bachelor’s degree required.
• 1 to 2 years of related experience preferred for this early-career compliance opportunity.
• General understanding of brokerage operations and compliance functions.
• Strong analytical skills with the ability to identify trends, drivers, and issues through data and metrics.
• Excellent written and verbal communication skills.
• Strong attention to detail and ability to maintain accuracy in high-volume case review.
• Self-starter with the ability to work independently and manage priorities effectively.
• Ability to multitask and remain focused in a fast-paced environment.
• Strong partnership skills and ability to collaborate with team members across functions.

• Experience reviewing customer complaints, regulatory matters, or financial services support cases.
• Familiarity with FINRA reporting requirements, FINRA codes, or regulatory compliance workflows.
• Prior experience supporting quality assurance, metrics preparation, or senior management reporting.

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We are committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please contact your staffing representative who will reach out to our HR team.

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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.