Compliance Specialist Jobs in Santa Ana, 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.
- Irvine, CA (6 miles from Santa Ana, CA)
- 4 days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 4 days ago
Insight Global is looking for an IT Compliance Administrator to join the compliance team of one of their top clients in the insurance space. The role is responsible for responding to compliance...
Senior Regulatory Affairs Specialist
- Irvine, CA (6 miles from Santa Ana, CA)
- 5 days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 5 days ago
We anticipate the application window for this opening will close on - 30 Jun 2025 At Medtronic you can begin a life-long career of exploration and innovation, while helping champion healthcare...
- Irvine, CA (6 miles from Santa Ana, CA)
- 8 days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 8 days ago
Regulatory Affairs Specialist Contract Type: Contractor Location: Irvine Industry: Pharmaceuticals Contact Name: Flora Pollack Contact Phone: Date Published: 05-Jun-2025 Regulatory Affairs...
Regulatory and Compliance Analyst
- Irvine, CA (6 miles from Santa Ana, CA)
- 9 days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 9 days ago
Regulatory and Compliance Analyst Rivian vision insurance United States, California, Irvine 14600 Myford Road (Show on map) Jun 05, 2025 About Rivian Rivian is on a mission to keep the world...
Senior Regulatory Compliance Specialist
- Corona, CA (18 miles from Santa Ana, CA)
- 10 days ago
- Corona, CA (18 miles from Santa Ana, CA)
- 10 days ago
Are you ready to step into a pivotal role as a Senior Regulatory Compliance Specialist for the City of Corona?...
Regulatory Affairs Specialist II
- Pomona, CA (17 miles from Santa Ana, CA)
- 12 days ago
- Pomona, CA (17 miles from Santa Ana, 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 (12 miles from Santa Ana, CA)
- 13 days ago
- Brea, CA (12 miles from Santa Ana, 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...
VP, Compliance Officer Banc of California - 2.9 Santa Ana, CA Job Details Full-time $101,000 - $125,000 a year 21 hours ago Benefits Paid parental leave Health savings account AD&D insurance Paid...
SVP, Senior Compliance Officer - Alternatives
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 25 days ago
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 25 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,...
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 29 days ago
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 29 days ago
Job Description We are seeking a motivated and detail-oriented Compliance Associate to join our Compliance team. The Compliance Associate will play a key role in the daily administration of the...
SVP, Senior Compliance Officer - Alternatives (Newport Beach)
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 30+ days ago
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 30+ 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,...
SVP, Senior Compliance Officer (Newport Beach)
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 30+ days ago
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 30+ 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,...
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...
Senior Vice President, Senior Compliance Officer (Newport Beach)
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 30+ days ago
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 30+ 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,...
Regulatory Affairs Specialist, Sr.
- Irvine, CA (6 miles from Santa Ana, CA)
- 30+ days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 30+ days ago
Regulatory Affairs Specialist, Sr. Regulatory Affairs (Prismatik, a Glidewell Company) Irvine, California Description Position at Prismatik Essential Functions: Prepare and submit product...
Demographic Data for Santa Ana, CA
Moving to Santa Ana, CA? Find some basic demographic data about Santa Ana, CA below.
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Salary for Compliance Specialist Jobs in Santa Ana, CA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Santa Ana, 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
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