Regulatory Reporting Compliance Associate
Recruiter Fit Breakdown & Candid Summary
This role suits detail-oriented compliance professionals with at least one year of brokerage experience who excel at data analysis and regulatory reporting.
Candidates will be responsible for reviewing customer complaints, determining FINRA filing requirements, and preparing disclosures for regulators and senior leadership.
The position operates on a hybrid schedule requiring at least three days per week in the Chicago, IL, Denver, CO, or Lake Mary, FL offices.
Applicants without a background in brokerage operations or regulatory compliance compliance functions should not apply.
Role Responsibilities
- 1Own the complaints review process and determine which complaints require regulatory filings under FINRA rules.
- 2Perform quality assurance reviews of customer complaint cases and escalate high-risk cases.
- 3Prepare and file Rule 4530 disclosures and quarterly reports.
- 4Build controls, provide metrics, and analyze complaint data trends.
- 5Draft and refine Standard Operating Procedures and map process workflows.
Skills Matrix
Must-Have Skills
Nice-to-Have Skills
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