Compliance Associate

Compliance Associate

We are seeking a detail-oriented and motivated Compliance Associate to support regulatory reporting, quality assurance, and operational compliance activities within a fast-paced financial services environment. This role is ideal for someone with strong analytical skills, a proactive mindset, and an interest in brokerage operations and compliance functions.

Key Responsibilities
Review a high volume of customer support cases daily to determine regulatory reporting requirements and appropriate classification codes
Conduct quality assurance reviews of customer complaint cases to ensure accuracy, completeness, and compliance with internal standards
Support workflow management and assist in troubleshooting issues within the complaint review process
Assist with the preparation and submission of quarterly regulatory reports
Compile and prepare quarterly compliance metrics and reporting for senior leadership
Collaborate with cross-functional teams to support ongoing compliance initiatives and operational improvements
Provide additional support to team members and assist with special projects as needed
Qualifications
Bachelor’s degree required
1–2 years of experience in compliance, brokerage operations, financial services, or a related field preferred
General understanding of brokerage operations and compliance processes
Strong analytical and problem-solving skills with the ability to identify trends and insights through data and metrics
Excellent written and verbal communication skills
Highly organized with exceptional attention to detail
Self-starter with the ability to work independently and manage multiple priorities effectively
Ability to thrive in a fast-paced, deadline-driven environment
Strong collaboration and partnership skills with a team-oriented approach
What We’re Looking For
A proactive professional who enjoys solving problems and improving processes
Someone who can remain focused under pressure while maintaining accuracy and efficiency
A team player with a strong sense of accountability and commitment to high-quality work

Equal Opportunity Employer / Disabled / Protected Veterans

The Know Your Rights poster is available here:

The pay transparency policy is available here:

For temporary assignments lasting 13 weeks or longer, AppleOne 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.

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.

Additional Skills

(none specified)