Top Compliance Jobs in Los Angeles, CA

Lead and enhance Circle's IT SOX compliance program by evaluating ITGCs, automated and IT-dependent controls, documenting SOX-ready materials, coordinating testing and remediations, liaising with IT, Security, Finance and auditors, and driving control design for system implementations and new product launches.

The Lead Analyst, Product Compliance ensures compliance in product lifecycle, conducts risk assessments, collaborates with teams, and develops compliance processes for Circle's Payments product.

Lead and continuously improve the companys SOX 404 program: design strategy, risk assessment, scoping, testing, and remediation. Partner with Finance, IT, Legal, and business owners to document controls, manage external audits, drive automation and ERP/GRC integrations, report to executives and Audit Committee, and establish policies, training, and a scalable SOX team.

Lead risk and compliance activities for a high-risk banking environment: prepare for audits and regulatory exams, draft policies and governance, evaluate internal controls, run risk assessments and gap analyses, maintain training, monitor regulatory changes, and produce KRI/KPI Board-level reporting.

Manage tax planning, compliance, and reporting across a multi-entity organization. Serve as primary tax authority, coordinate with external advisors, oversee partnership and indirect tax compliance, maintain filing calendar, handle information reporting (1099/1042), support international tax matters, liaise with government authorities, and improve tax processes and controls.

The Fund Controller manages fund accounting accuracy and consistency, collaborates with teams, and oversees compliance and audit partnerships.

Support design, implementation, and operation of Affirm Bank's BSA/AML and compliance technology. Build and test transaction-monitoring rules, case-management workflows, dashboards, and controls; analyze alerts and control performance; maintain documentation; coordinate across Compliance, Product, Engineering, Data, and vendors to ensure audit-ready, scalable compliance systems.

Lead enterprise-wide compliance and financial-crime risk assessments, evaluate controls and residual risk, produce executive reports, partner with MLROs/CCOs globally, drive transaction monitoring and customer risk scoring coverage, update geographic risk ratings, develop threat assessment frameworks, and pioneer AI-powered automation while maintaining human oversight.

The Director of Regulatory & Compliance will lead the Governance, Risk, and Compliance strategy, manage regulatory obligations, and support product compliance in a remote setting.

Execute end-to-end risk-based operational and compliance audits (scoping, testing, reporting, remediation validation). Identify control gaps, perform root cause analysis, draft actionable recommendations, manage audit requests and stakeholders, validate remediation, and partner with Operations, Compliance, Risk, Finance, and Legal while maintaining third-line independence.

Lead international tax advisory and compliance for financial services clients, managing projects, supervising teams, and delivering tax-efficient global structuring solutions. Analyze complex cross-border tax issues, uphold professional standards, drive automation initiatives, mentor staff, and cultivate client relationships to identify service enhancements and manage multiple engagements.

Supports investment management clients with regulatory compliance, including personal trading, email and trade monitoring, regulatory filings, SEC and CFTC registrations, examinations, issue investigations, regulatory change assessments, marketing reviews, and compliance training. The role requires accurate work across multiple assignments, client and regulator communication, confidentiality, and strong organization. Candidates should have a bachelor’s degree and 1–3 years of relevant compliance experience, preferably in investment advisory, banking, legal, or alternative investment environments.

Serve as primary liaison for state and federal regulatory examinations, coordinating requests and responses, developing and implementing corrective action plans, conducting follow-up audits, preparing reports for regulators and leadership, and partnering with business units to maintain compliance monitoring policies and procedures.

Lead and enhance the firms compliance program for SEC, FINRA, and broker-dealer requirements. Oversee communications supervision, regulatory examinations, onboarding/offboarding, annual testing, marketing approvals, records retention, AI governance, compliance training, vendor/tool administration, internal audits, and firm-wide risk assessment. Coordinate with Legal, Finance, Investor Relations, IT, and senior leadership and prepare filings and evidence to maintain regulatory readiness.

Lead and govern SPE's IT SOX program, overseeing ITGCs, CLCs, and SOX readiness for implementations and transformations. Perform IT risk assessments, drive control design and remediation, embed compliance into the SDLC, coordinate internal/external audits, and advance automation and governance for emerging technologies.

Lead Rayda’s compliance and risk framework across internal operations and third-party vendors. Responsibilities include vendor due diligence, KYB, risk and compliance registers, control monitoring, remediation, information security and privacy compliance, customer audits, security questionnaires, cross-functional control implementation, executive reporting, and process automation.

The Senior Wealth Advisor manages client relationships, delivers wealth management services, and supports growth through referrals and marketing, all in a remote, independent capacity.

Support the firms registered investment adviser compliance program: review marketing materials, assist regulatory filings, maintain policies and Code of Ethics, conduct monitoring and vendor due diligence, respond to inquiries and DDQs, and translate regulatory developments into practical guidance.

Supports OnePay’s second-line compliance control environment through control framework maintenance, risk assessments, risk-based monitoring, data quality reviews, process improvements, and product compliance oversight. Partners with cross-functional teams on regulatory, operational, and third-party changes; provides advisory challenge; evaluates control impacts; and prepares leadership and governance reporting. The role also applies analytics, automation, and AI-enabled tools to improve monitoring efficiency and coverage.

Own international tax and regulatory compliance across US, Cayman Islands, Costa Rica, UK, and Australian entities. Manage PFIC reporting, intercompany loans, transfer pricing documentation, crypto treasury reconciliations, statutory filings, audits, payroll, and accounts payable oversight. Coordinate external tax advisors, accounting firms, and outsourced finance providers while building scalable controls and proactively mitigating multi-jurisdiction compliance risks.

Leads investment and trading compliance for ETFs by translating prospectus and SAI investment restrictions into Bloomberg AIM rules, monitoring pre- and post-trade exceptions, identifying violations, and collaborating with trading, investment management, and compliance teams. The role also supports compliance with the Investment Company Act, Internal Revenue Code, SEC regulations, and enhancements to trade monitoring systems and processes.

Lead and scale the Sarbanes-Oxley (SOX 404) program, maintain the ICFR framework, manage control design/testing/remediation, oversee ITGC scoping, integrate controls for acquisitions, liaise with external auditors and the Audit Committee, and build and mentor a SOX compliance team.

Lead restricted donation tracking and reporting, design and maintain a global internal controls framework, oversee financial compliance and tax filings (Brazil and U.S.), partner with Fundraising and regional teams to embed controls, support investment strategy, perform financial analyses, and communicate financial information across functions and geographies.

Own partnership tax compliance for a portfolio of private funds: prepare and review Form 1065, Schedule K-1s, complex allocations, book-to-tax adjustments, capital account maintenance, manage filing calendars and K-1 delivery, research partnership tax issues, coordinate with accounting/auditors, and mentor associates.

Own and manage the companys multi-state money transmitter licensing portfolio, regulatory reporting, and examination support across the U.S.; coordinate regulator communications, filings, and remediation; support product and geographic expansion compliance; maintain licensing records and calendars; coordinate external counsel and mentor licensing staff.