Compliance Specialist Jobs in California
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.
Compliance Associate (BELL GARDENS, CA. 90201)
- Fortiss
- Bell Gardens, CA
- 6 days ago
- Bell Gardens, CA
- 6 days ago
Overview Parkwest Bicycle Casino is looking for an enthusiastic, motivated Compliance Associate to join our team. We are seeking a team player who wil provide clerical support to our Compliance...
In PersonOnTrac is hiring a Compliance Associate! Are you eager to join a dynamic and expanding company where you can both learn and make a meaningful impact? If you possess a strong sense of empathy,...
In PersonCompliance Officer, Compliance Distribution
- Pacific Investment Management Company, LLC
- Newport Beach, CA
- 7 days ago
- Newport Beach, CA
- 7 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,...
In PersonCompany Description It started with a simple idea: what if surgery could be less invasive and recovery less painful? Nearly 30 years later, that question still fuels everything we do at Intuitive....
In PersonQuality Compliance Associate I/II
- Capricor Therapeutics
- San Diego, CA
- 13 days ago
- San Diego, CA
- 13 days ago
Capricor Therapeutics (NASDAQ: CAPR) is a biotechnology company dedicated to advancing transformative cell and exosome-based therapies for rare diseases. At the forefront of our innovation is...
HybridRegulatory Affairs Specialist - In-vitro Diagnostics
- Randstad
- San Diego, CA
- 15 days ago
- San Diego, CA
- 15 days ago
Advance your career in beautiful San Diego! A Top-Tier Global Life Sciences Leader is seeking a Regulatory Affairs Specialist III for a hybrid role (3 days onsite). This position offers an...
In PersonBUSINESS Sr. Regulatory Affairs Specialist w/ Dexcom, Inc. 100% remote in San Diego, CA. EE telecom. & may report to office 1x quarter. 10% dom. trav'l req'd. Pay $114,691$152,300/yr. Email resume...
Remote- Neighborhood Healthcare
- Escondido, CA
- 18 days ago
- Escondido, CA
- 18 days ago
ABOUT US: Community health is about more than just vaccines and checkups. It's about giving people the resources they need to live their best lives. At Neighborhood, this is our vision: a...
In PersonCompliance and Risk Analyst II-ALM/IRR
- INSPYR Solutions
- Los Angeles, CA
- 20 days ago
- Los Angeles, CA
- 20 days ago
Role : Compliance and Risk Analyst II-ALM/IRR Location : Los Angeles, CA Duration : 4+ month Contract Compensation : $40.00 - 48.00/hr Work Requirements: US Citizen, GC Holders or Authorized to...
In PersonWould you like to join an international team working to improve the future of healthcare? Do you want to enhance the lives of millions of people? Grifols is a global healthcare company that since...
In PersonPersonal trade surveillance Electronic communications monitoring (e communications) Political contributions Proxy voting Strong understanding of global equity and fixed income markets, including bonds, equities...
In Person- Evolve Talent Partners
- San Francisco, CA
- 45+ days ago
- San Francisco, CA
- 45+ days ago
The Company is seeking a Legal and Compliance Associate based in San Francisco who will skillfully and accurately assist in the coordination and execution of the Company's general legal and...
In PersonSenior Compliance Officer, Card Schemes
- Adyen
- San Francisco, CA
- 60+ days ago
- San Francisco, CA
- 60+ days ago
This is Adyen Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice....
In PersonSenior Compliance Officer, Card Network Specialist
- Adyen
- San Francisco, CA
- 60+ days ago
- San Francisco, CA
- 60+ days ago
This is Adyen Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice....
In PersonJunior Small Business and Compliance Officer
- Dutra Group
- San Rafael, CA
- 60+ days ago
- San Rafael, CA
- 60+ days ago
Junior Small Business and Compliance Officer EQUAL OPPORTUNITY EMPLOYER/VETERANS/DISABLED SUMMARY The Junior Small Business Liaison and Compliance Officer (Junior SBLO) will support all Dutra...
In PersonDemographic Data for California
Moving to California? Find some basic demographic data about California 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 California
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in California 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
- Internal Audits
- OFAC
- 21 CFR 820
- Tila Respa Integrated Disclosures
- Equities
- Management Reporting
- Securities and Exchange Commission
- BSA
- Derivatives
- Know Your Customer
- Audit Support
- Retirement Planning
- Fixed Income
- Internal Control
- Investment Management
- Anti-Money Laundering
- Financial Services
- Due Diligence
- Resolution
- Finance
- Accounting
- Reimbursement
- Analytical Skills
- Risk Management
- Strategy Development
- Auditing
- Written Communication
- Investigation
- Documentation
- Interpersonal Skills
- Implementation
- Verbal Communication
- Reporting
- Policy Development
- Filing
- Collaboration
- Education Experience
- Bachelor's Degree
- Sales
- Regulations
- Microsoft Excel
- Research Skills
- Microsoft Office
- Project Management
- Problem Solving
- Staff Supervision
- Scheduling
- Time Management
- 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 »