Compliance Analyst Jobs in Lake Forest, 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.
Senior Compliance Officer (Hybrid)
- Santa Ana, CA (13 miles from Lake Forest, CA)
- 3 days ago
- Santa Ana, CA (13 miles from Lake Forest, CA)
- 3 days ago
Who We Are Join a team that puts its People First! Since 1889, First American (NYSE: FAF) has held an unwavering belief in its people. They are passionate about what they do, and we are equally...
Sr. HR Operations and Compliance Associate
- Irvine, CA (10 miles from Lake Forest, CA)
- 8 days ago
- Irvine, CA (10 miles from Lake Forest, CA)
- 8 days ago
Who We Are Through our service brands Hyundai Motor Finance, Genesis Finance, and Kia Finance, Hyundai Capital America offers a wide range of financial products tailored to meet the needs of...
Lead Regulatory Compliance Specialist
- Corona, CA (20 miles from Lake Forest, CA)
- 9 days ago
- Corona, CA (20 miles from Lake Forest, CA)
- 9 days ago
Our team members are at the heart of everything we do. At Cencora, we are united in our responsibility to create healthier futures, and every person here is essential to us being able to deliver...
Pay: up to $48/hr on w2 (no C2C or 3rd parties) Job Title: Regulatory Affairs Specialist II Location: Lake Forest, CA (onsite) Work hours: M-F 8am 5pm onsite Job Description: Work with global...
Regulatory Affairs Specialist II
- Irvine, CA (10 miles from Lake Forest, CA)
- 22 days ago
- Irvine, CA (10 miles from Lake Forest, CA)
- 22 days ago
Job Summary Regulatory Affairs Specialist II/III is responsible for obtaining and documenting our mission-critical, domestic regulatory clearances for Masimo's amazing innovative products. The...
- Orange, CA (15 miles from Lake Forest, CA)
- 29 days ago
- Orange, CA (15 miles from Lake Forest, CA)
- 29 days ago
Chief Compliance Officer Employer Chapman University Location Orange, California, United States Salary Competitive Salary Date posted Jul 14, 2025 View more categories Job Details Company Job...
Senior Regulatory Affairs Specialist - Urology
- Irvine, CA (10 miles from Lake Forest, CA)
- 45+ days ago
- Irvine, CA (10 miles from Lake Forest, CA)
- 45+ days ago
Additional Location(s): US-CA-Irvine; US-CA-Valencia; US-MA-Marlborough; US-MN-Maple Grove Diversity - Innovation - Caring - Global Collaboration - Winning Spirit - High Performance At Boston...
Regulatory Affairs Specialist III - Urology
- Irvine, CA (10 miles from Lake Forest, CA)
- 60+ days ago
- Irvine, CA (10 miles from Lake Forest, CA)
- 60+ days ago
Additional Location(s): US-CA-Irvine; US-CA-Valencia; US-MA-Marlborough; US-MN-Maple Grove Diversity - Innovation - Caring - Global Collaboration - Winning Spirit - High Performance At Boston...
SVP, Senior Compliance Officer - Alternatives
- Newport Beach, CA (7 miles from Lake Forest, CA)
- 60+ days ago
- Newport Beach, CA (7 miles from Lake Forest, CA)
- 60+ 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,...
Senior Vice President, Senior Compliance Officer (Newport Beach)
- Newport Beach, CA (7 miles from Lake Forest, CA)
- 90+ days ago
- Newport Beach, CA (7 miles from Lake Forest, CA)
- 90+ 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,...
- Irvine, CA (10 miles from Lake Forest, CA)
- 90+ days ago
- Irvine, CA (10 miles from Lake Forest, CA)
- 90+ days ago
Your Role on the Team Under the general supervision of the Supervisor, IT Security Risk and Compliance, the Risk and Compliance analyst applies skills as a seasoned, experienced IT security professional...
Demographic Data for Lake Forest, CA
Moving to Lake Forest, CA? Find some basic demographic data about Lake Forest, CA below.
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Salary for Compliance Analyst Jobs in Lake Forest, CA
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Lake Forest, 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
- ICH Guidelines
- Private Banking
- 21 CFR 820
- Equity Research
- Alternative Investments
- Equities
- Derivatives
- Internal Control
- BSA
- Fixed Income
- Capital Markets
- Investment Banking
- Securities and Exchange Commission
- Lending
- Investment Management
- Financial Services
- Sarbanes-Oxley Compliance
- Anti-Money Laundering
- Mortgage Processing
- Due Diligence
- Asset Management
- Finance
- Reimbursement
- Risk Management
- Strategy Development
- Accounting
- Implementation
- Analytical Skills
- Auditing
- Written Communication
- Documentation
- Mentoring
- Verbal Communication
- Investigation
- Reporting
- Collaboration
- Flexibility
- Interpersonal Skills
- Filing
- Bachelor's Degree
- Microsoft PowerPoint
- Policy Development
- Project Management
- Regulations
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Sales
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Leadership
- Communication Skills
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