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.
Senior Regulatory Affairs Specialist - Urology
- Irvine, CA (6 miles from Santa Ana, CA)
- 22 days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 22 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 (6 miles from Santa Ana, CA)
- 23 days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 23 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...
Senior Regulatory Affairs Specialist
- Irvine, CA (6 miles from Santa Ana, CA)
- 30+ days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 30+ days ago
We anticipate the application window for this opening will close on - 25 Jul 2025 At Medtronic you can begin a life-long career of exploration and innovation, while helping champion healthcare...
- Brea, CA (12 miles from Santa Ana, CA)
- 30+ days ago
- Brea, CA (12 miles from Santa Ana, CA)
- 30+ 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)
- 45+ days ago
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 45+ 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)
- 45+ days ago
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 45+ 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...
Senior Vice President, Senior Compliance Officer (Newport Beach)
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 45+ days ago
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 45+ 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 (6 miles from Santa Ana, CA)
- 90+ days ago
- Irvine, CA (6 miles from Santa Ana, 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....
Regulatory Compliance Specialist
- Brea, CA (12 miles from Santa Ana, CA)
- 90+ days ago
- Brea, CA (12 miles from Santa Ana, CA)
- 90+ 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...
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 90+ days ago
- Newport Beach, CA (10 miles from Santa Ana, 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 (6 miles from Santa Ana, CA)
- 90+ days ago
- Irvine, CA (6 miles from Santa Ana, CA)
- 90+ days ago
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...
Vice President, Compliance Officer - Anti-Financial Crime
- Newport Beach, CA (10 miles from Santa Ana, CA)
- 90+ days ago
- Newport Beach, CA (10 miles from Santa Ana, 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,...
Demographic Data for Santa Ana, CA
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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
- Gmail
- Mortgage Lending
- Offer Letters
- Annuities
- Commercial Banking
- 21 CFR 820
- Tax Accounting
- Operations Analysis
- Internal Control
- Equities
- Derivatives
- BSA
- Management Reporting
- Wealth Management
- Fixed Income
- Securities and Exchange Commission
- Lending
- Financial Services
- Anti-Money Laundering
- Mortgage Processing
- Fraud Investigation
- Business Administration
- Finance
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Implementation
- Analytical Skills
- Payroll
- Auditing
- Verbal Communication
- Collaboration
- Flexibility
- Reporting
- Documentation
- Filing
- Bachelor's Degree
- Regulations
- Policy Development
- Microsoft Office
- Project Management
- Problem Solving
- Microsoft Excel
- Sales
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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