Compliance Analyst Jobs in Brea, CA
A Compliance Analyst in the finance industry plays a crucial role in ensuring that the operations and business transactions follow all relevant legal, regulatory, and internal rules. They are responsible for reviewing and setting standards for operational procedures, drafting and implementing company policies, and conducting periodic audits to ensure compliance. These professionals also provide guidance on compliance matters and act as the point of contact for regulatory bodies. They help prevent business disruptions, financial loss, and potential damage to an organization's reputation caused by non-compliance.
Compliance Analysts should possess strong analytical, problem-solving, and communication skills. They should also have a thorough understanding of compliance standards and regulations, and a keen eye for detail. A Bachelor's degree in finance, business, or a related field is usually required, and a Master's degree can be beneficial. Additionally, certification like the Certified Regulatory Compliance Manager (CRCM) can boost their credibility. Before becoming a Compliance Analyst, a person may have roles such as a Compliance Assistant, Risk Management Specialist, or a Financial Analyst. These roles provide the necessary experience in understanding financial regulations and the operational aspects of the finance industry.
Compliance Associate (BELL GARDENS, CA. 90201)
- Fortiss
- Bell Gardens, CA (17 miles from Brea, CA)
- 5 days ago
- Bell Gardens, CA (17 miles from Brea, CA)
- 5 days ago
Overview Parkwest Bicycle Casino is looking for an enthusiastic, motivated Compliance Associate to join our team. We are seeking a team player who wil provide clerical support to our Compliance...
In Person- OnTrac
- Commerce, CA (15 miles from Brea, CA)
- 6 days ago
- Commerce, CA (15 miles from Brea, CA)
- 6 days ago
OnTrac is hiring a Compliance Associate! Are you eager to join a dynamic and expanding company where you can both learn and make a meaningful impact? If you possess a strong sense of empathy,...
In PersonCompliance Officer, Compliance Distribution
- Pacific Investment Management Company, LLC
- Newport Beach, CA (23 miles from Brea, CA)
- 7 days ago
- Newport Beach, CA (23 miles from Brea, CA)
- 7 days ago
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients capital across a range of fixed income and credit opportunities,...
In PersonCompliance and Risk Analyst II-ALM/IRR
- INSPYR Solutions
- Los Angeles, CA (21 miles from Brea, CA)
- 20 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 20 days ago
Role : Compliance and Risk Analyst II-ALM/IRR Location : Los Angeles, CA Duration : 4+ month Contract Compensation : $40.00 - 48.00/hr Work Requirements: US Citizen, GC Holders or Authorized to...
In PersonSVP, Senior Compliance Officer
- PIMCO
- Newport Beach, CA (23 miles from Brea, CA)
- 45+ days ago
- Newport Beach, CA (23 miles from Brea, CA)
- 45+ days ago
Personal trade surveillance Electronic communications monitoring (e communications) Political contributions Proxy voting Strong understanding of global equity and fixed income markets, including bonds, equities...
In PersonDemographic Data for Brea, CA
Moving to Brea, CA? Find some basic demographic data about Brea, CA below.
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Salary for Compliance Analyst Jobs in Brea, CA
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Brea, CA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- Engineering
- ISO Certified
- Product Development
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- OFAC
- 21 CFR 820
- Tila Respa Integrated Disclosures
- Equities
- Management Reporting
- Wealth Management
- Securities and Exchange Commission
- BSA
- Derivatives
- Know Your Customer
- Audit Support
- Fixed Income
- Internal Control
- Investment Management
- Anti-Money Laundering
- Financial Services
- Due Diligence
- Resolution
- Finance
- Accounting
- Reimbursement
- Analytical Skills
- Risk Management
- Strategy Development
- Auditing
- Written Communication
- Investigation
- Documentation
- Interpersonal Skills
- Implementation
- Verbal Communication
- Reporting
- Policy Development
- Filing
- Collaboration
- Education Experience
- Bachelor's Degree
- Sales
- Regulations
- Microsoft Excel
- Research Skills
- Microsoft Office
- Project Management
- Problem Solving
- Staff Supervision
- Scheduling
- Time Management
- Leadership
- Communication Skills
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