Regulatory Reporting Compliance Associate

What you’d do

Review customer complaints to decide which need regulatory filings, prepare and file FINRA Rule 4530 disclosures and quarterly reports, run quality assurance reviews, and track complaint data trends. Also trains and directs a contractor team. Found on the employer's careers page on Oct 16, 2026. Apply through the link.

You’ll need

• Bachelor's degree
• 1+ years of experience in a compliance role
• Understanding of brokerage operations and compliance functions
• Data and metrics analysis skills
• Ability to work independently