Compliance Specialist Jobs in Los Angeles, 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.
Staff Regulatory Affairs Specialist - Hybrid
- Glendale, CA (13 miles from Los Angeles, CA)
- 1 day ago
- Glendale, CA (13 miles from Los Angeles, CA)
- 1 day ago
Summary As Staff Regulatory Affairs Specialist, you will be responsible for supporting MMS Dispensing products consisting of Medical Devices and Non-Medical Devices along with associated Software...
Job Description In Consulting we work with C-suite executives, leaders and boards of the world's leading organizations, helping them reinvent every part of their enterprise to drive greater...
FAIR BANKING COMPLIANCE OFFICER WHAT IS THE OPPORTUNITY? The Fair Banking Compliance Officer is responsible for assessing risks related to unfair, deceptive, and abusive acts and practices...
Compliance Specialist position is a part of Companion Life's Regulatory and Market Conduct Team within the Compliance Department....
Governance, Risk, and Compliance Associate - Asset Management Consulting
- Los Angeles, CA
- 7 days ago
- Los Angeles, CA
- 7 days ago
The Weaver Experience Weaver is a full-service national accounting, advisory and consulting firm with opportunities for professionals in many different fields. We seek to bring a human element to...
Senior Financial Aid Specialist - Compliance
- Los Angeles, CA
- 10 days ago
- Los Angeles, CA
- 10 days ago
Senior Financial Aid Specialist - Compliance Herzing University paid time off, remote work United States, California, Los Angeles Jun 04, 2025 Description To participate in a remote work...
Salary Range: $88,854.00 (Min.) - $115,509.00 (Mid.) - $142,166.00 (Max.) Established in 1997, L.A. Care Health Plan is an independent public agency created by the state of California to provide...
Regulatory Affairs Specialist II
- Pomona, CA (24 miles from Los Angeles, CA)
- 12 days ago
- Pomona, CA (24 miles from Los Angeles, CA)
- 12 days ago
Abbott is a global healthcare leader that helps people live more fully at all stages of life. Our portfolio of life-changing technologies spans the spectrum of healthcare, with leading businesses...
- Brea, CA (21 miles from Los Angeles, CA)
- 13 days ago
- Brea, CA (21 miles from Los Angeles, CA)
- 13 days ago
Job Description: The Regulatory Affairs Specialist is responsible for assembling CE Technical files and final review of deliverables for MDR regulatory compliance with the goal of achieving...
Apply Job Type Full-time Description JOB SUMMARY: Compliance Officer is responsible for conducting audits and inspections to ensure the bank adheres to set internal and external laws. Responsible...
About Altruist Altruist is the modern custodian built exclusively for independent financial advisors that combines a self-clearing brokerage firm with intuitive software for account opening,...
Regulatory Compliance Specialist
- Brea, CA (21 miles from Los Angeles, CA)
- 60+ days ago
- Brea, CA (21 miles from Los Angeles, CA)
- 60+ days ago
Employment Type: Salaried Work Arrangement: Remote Position Summary: We are seeking a Regulatory Compliance Specialist to join our team of food regulatory professionals, to provide expertise in regulatory...
Axos Bank Target Range: $100,000.00/Yr. - $120,000.00/Yr. Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and...
Regulatory Affairs Specialist (CA)
- Torrance, CA (10 miles from Los Angeles, CA)
- 90+ days ago
- Torrance, CA (10 miles from Los Angeles, CA)
- 90+ days ago
Role Description This is a full-time on-site role for a Regulatory Affairs Specialist located in Torrance, CA. The Regulatory Affairs Specialist will be responsible for regulatory documentation,...
- Santa Monica, CA (14 miles from Los Angeles, CA)
- 90+ days ago
- Santa Monica, CA (14 miles from Los Angeles, CA)
- 90+ days ago
About Tala Tala is on a mission to unleash the economic power of the Global Majority the 4 billion people overlooked by existing financial systems. With nearly half a billion dollars raised from...
Demographic Data for Los Angeles, CA
Moving to Los Angeles, CA? Find some basic demographic data about Los Angeles, CA below.
Compliance Specialist Online Courses and Training Opportunities
Title Synonyms
Users interested in this job title also searched for the following job title
Salary for Compliance Specialist Jobs in Los Angeles, CA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Los Angeles, CA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- Retail
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Private Banking
- 21 CFR 820
- Comprehensive Capital Analysis and Review
- Treasury
- BSA
- Treasury Management
- Equities
- Derivatives
- Internal Control
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Management Consulting
- Financial Services
- Mortgage Processing
- Anti-Money Laundering
- Business Administration
- Finance
- Accounts Receivable
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Strategy Development
- Staffing
- Analytical Skills
- Implementation
- Payroll
- Auditing
- Verbal Communication
- Collaboration
- Documentation
- Reporting
- Bachelor's Degree
- Filing
- Regulations
- Policy Development
- Microsoft Office
- Problem Solving
- Sales
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Leadership
- Communication Skills
Other Career Titles
Here are some other career titles that require similar skills
Compliance Specialist Related Career Advice Articles
5 Types of Finance Jobs: Which Is the Best Fit?
Wondering if a finance job is right for you? Check out our guide to finance careers and learn more about working in finance.
Read article »
Impress Employers with These Finance Certifications
For professionals in the financial services industry, certifications can mean the difference between thriving or just surviving. Find out which certification would be best for you.
Read article »