Compliance Specialist Jobs in Lake Forest, CA
A Compliance Specialist in the finance industry is primarily responsible for ensuring that the organization adheres to a variety of regulations, laws, and professional standards. They monitor, evaluate and communicate the organization's compliance status with respect to these regulations. They often conduct regular audits, implement compliance strategies, and provide compliance training to employees. Some Compliance Specialists may also be involved in developing targeted risk assessment methodologies, carrying out specific risk assessments, and building risk management plans.
Important skills for a Compliance Specialist include strong analytical abilities, excellent attention to detail, and solid communication skills. Knowledge of regulatory laws and standards in the finance industry is crucial. Compliance Specialists should also be able to use auditing software and other tools. In terms of certification, Certified Regulatory Compliance Manager (CRCM) is a popular one, while Certified Anti-Money Laundering Specialist (CAMS) and Certified Financial Crime Specialist (CFCS) are also useful. Previous job roles for someone considering becoming a Compliance Specialist may include Compliance Analyst, Risk Analyst, or Regulatory Affairs Specialist.
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)
- 7 days ago
- Irvine, CA (10 miles from Lake Forest, CA)
- 7 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
Under direct supervision of the Quality and Regulatory Operations (QRO) Manager, the Lead Regulatory Compliance Specialist takes a primary role in assisting in all aspects of the Distribution Centers...
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)
- 21 days ago
- Irvine, CA (10 miles from Lake Forest, CA)
- 21 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
Who We Are Founded in 1965, UC Irvine is a member of the prestigious Association of American Universities and is ranked among the nation's top 10 public universities by U.S. News & World Report....
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 Specialist Jobs in Lake Forest, CA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Lake Forest, CA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- Engineering
- ISO Certified
- Product Development
- Medical Device Sales
- FDA Regulations
- ISO 13485
- ICH Guidelines
- Private Banking
- 21 CFR 820
- Equity Research
- Alternative Investments
- Mutual Funds
- 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
- 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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