What are the responsibilities and job description for the Compliance Associate position at AppleOne?
Compliance Associate, Regulatory Reporting
Tenure of Contract: 1 Year
Preferred Locations: Remote but must live within a reasonable distance to commute to the Lake Mary, Fl office as needed.
Pay Rate: $18-$20/hour
What you’ll do day-to-day:
• Review 100 Customer Support Cases daily to determine if it meets FINRA reporting requirements,
• FINRA Problem/Product Codes, Additional escalation, and other elements as required.
• Perform quality assurance review of customer complaint cases
• Assist in workflow and troubleshooting of current complaint review process
• Assist in preparation and submission of quarterly FINRA 4530(d) report
• Assist in preparation of quarterly metrics for senior management
• Assist other team members in their responsibilities as needed
About you:
• Bachelor’s Degree
• General understanding of brokerage operation and compliance functions
• Passion and ability to hunt for answers, identify trends & drivers through data and metrics
• Self-starter with ability to work independently
• Good written and verbal communication, analytical skills and strong attention to detail
• Strong communication and partnership skills
• Strong ability to remain focused and see initiatives to completion
• Proven ability to multi-task and effectively prioritize in a fast-paced environment
Equal Opportunity Employer / Disabled / Protected Veterans
The Know Your Rights poster is available here:
https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdf
The pay transparency policy is available here:
https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_ English_formattedESQA508c.pdf
For temporary assignments lasting 13 weeks or longer, the Company is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.
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.
AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf
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.
#1070
Company DescriptionTenure of Contract: 1 Year
Preferred Locations: Remote but must live within a reasonable distance to commute to the Lake Mary, Fl office as needed.
Pay Rate: $18-$20/hour
What you’ll do day-to-day:
• Review 100 Customer Support Cases daily to determine if it meets FINRA reporting requirements,
• FINRA Problem/Product Codes, Additional escalation, and other elements as required.
• Perform quality assurance review of customer complaint cases
• Assist in workflow and troubleshooting of current complaint review process
• Assist in preparation and submission of quarterly FINRA 4530(d) report
• Assist in preparation of quarterly metrics for senior management
• Assist other team members in their responsibilities as needed
About you:
• Bachelor’s Degree
• General understanding of brokerage operation and compliance functions
• Passion and ability to hunt for answers, identify trends & drivers through data and metrics
• Self-starter with ability to work independently
• Good written and verbal communication, analytical skills and strong attention to detail
• Strong communication and partnership skills
• Strong ability to remain focused and see initiatives to completion
• Proven ability to multi-task and effectively prioritize in a fast-paced environment
Equal Opportunity Employer / Disabled / Protected Veterans
The Know Your Rights poster is available here:
https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdf
The pay transparency policy is available here:
https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_ English_formattedESQA508c.pdf
For temporary assignments lasting 13 weeks or longer, the Company is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.
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.
AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf
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.
#1070
This company offers growth and a great group of people to work with.
Salary : $18 - $20