Compliance Analyst
Compliance Analyst
Location: Greater Los Angeles Area
Compensation: $90,000 - $120,000
The Opportunity
A growing financial services firm is looking to add a Compliance Analyst to its team.
This individual will support a variety of day-to-day compliance and regulatory activities and work closely with senior members of the compliance function. The role offers broad exposure across the business and the opportunity to take ownership of recurring compliance responsibilities and projects.
Key Responsibilities
- Support ongoing compliance monitoring and testing
- Assist with regulatory filings and reporting requirements
- Review business and marketing materials from a compliance perspective
- Help maintain and update internal policies and procedures
- Assist with employee compliance matters
- Support periodic compliance reviews and regulatory examinations
- Maintain required compliance documentation and records
- Assist with employee training and onboarding
- Monitor relevant regulatory developments
- Partner with teams across the business on compliance-related questions
- Support additional regulatory and compliance projects as needed
Ideal Background
- 3-7+ years of compliance or regulatory experience
- Experience within financial services, investment management, wealth management, or a related organization
- Familiarity with financial services regulations and compliance programs
- Experience with compliance monitoring, testing, or regulatory reporting
- Strong attention to detail and organizational skills
- Ability to manage multiple priorities independently
- Strong written and verbal communication skills
- Bachelor's degree preferred
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.