Top Compliance Jobs in Los Angeles, CA

Supports risk and control consultation across business processes, identifies operational and strategic risks, monitors key risk indicators, and helps implement controls and corrective actions. The role supports internal and external audits, translates control deficiencies into action plans, enhances governance practices, monitors open issues, and ensures compliance with regulatory policies and procedures.

Leads the company’s SOX 404 compliance program and internal audit function, including risk assessment, control documentation and testing, deficiency remediation, audit planning, and executive reporting. Manages audit staff, external providers, budgets, and cross-functional partnerships with Finance, Legal, IT, HR, and business leaders. Integrates data analytics and AI-assisted tools to improve audit effectiveness while supporting regulatory compliance and financial risk management.

Lead River’s compliance program and team, serving as BSA Officer and owning BSA/AML, OFAC sanctions, regulatory testing, risk assessments, licensing, audits, and regulatory relationships. Drive the OCC national trust charter process, oversee compliance for new products, advise executives and the Board, and build scalable compliance systems for a rapidly growing Bitcoin financial institution.

Supports compliance, fraud, sanctions, complaints, and dispute programs; analyzes client activity to identify risks; improves compliance workflows and tooling; collaborates with Product, Engineering, Client Services, and Finance; conducts client outreach; supports audits, examinations, investigations, and regulatory inquiries; and reports compliance trends to leadership.

Leads financial crimes controls and compliance governance for Stripe entities, including Bridge and Privy controls, policy development, financial crimes risk assessments, issue management, and audit readiness. Translates AML, sanctions, KYC/KYB, transaction monitoring, and Travel Rule requirements into practical controls and processes. Partners cross-functionally to improve the control environment and identifies responsible AI and automation opportunities while maintaining human oversight, data protection, accountability, and auditability.

Conduct CDD and EDD reviews for LATAM-related customers, investigate cross-border transactions and potential money laundering or sanctions evasion, assess OFAC exposure, review ownership and source-of-funds information, disposition screening alerts, prepare UAR escalations, and support onboarding, monitoring, risk methodology, and compliance process improvements.

Prepares, reviews, and submits telecommunications regulatory compliance filings to the FCC, state public utility commissions, and other agencies. Coordinates with telecom clients to collect reporting information, analyzes financial and operational data, ensures accurate and timely submissions, and monitors regulatory changes. The role requires strong accounting, telecommunications compliance, utility regulation, mathematical, analytical, organizational, and Microsoft Office skills.

Leads multi-jurisdictional payroll tax administration, compliance monitoring, controls, reconciliations, audits, and regulatory updates across U.S., Canadian, and global payroll operations. Investigates tax notices and discrepancies, performs root-cause analysis, maintains audit-ready documentation, and partners with HR, Finance, Legal, government agencies, vendors, and external advisors to improve payroll processes and reduce compliance risk.

Join Arootah's advisor network to provide fractional Chief Compliance Officer–level, project-based compliance leadership for hedge funds, private equity firms, and family offices. Advise on SEC/regulatory matters, design and improve compliance programs, conduct reviews and risk assessments, support exams and due diligence, and partner with leadership to strengthen governance and controls.

Provide fractional compliance advisory to alternative investment firms and family offices: develop and implement compliance programs, Form ADV filings, policies, controls, training, regulatory exam readiness, risk assessments, remediation, and ad-hoc projects.

Conduct independent QA reviews of AML and financial crime investigations, including transaction monitoring, sanctions screening, EDD, and name screening. Evaluate decisions, documentation, regulatory adherence, and risk-based outcomes; identify defects and provide feedback. Analyze quality trends, prepare reports and dashboards, facilitate calibration sessions, support coaching and remediation, and recommend improvements to QA frameworks, workflows, scorecards, and controls. Participate in AML projects, UAT, process validation, and AI-enabled quality initiatives.

Reviews mortgage loan packages, underwriting documentation, data, and fees for regulatory compliance, accuracy, completeness, and salability. Captures and audits loan information, identifies discrepancies and exceptions, researches rebuttals, runs system validations, documents findings, and coordinates with internal teams to resolve issues and meet review timelines.

Leads IT compliance for usage-based revenue processes, including platform consumption controls, cloud partner reconciliations, SOX-ready engineering workflows, and paid-usage metering data governance. Partners with Engineering, Finance, Accounting, and Internal Audit to resolve discrepancies, assess revenue recognition impacts, automate reconciliation processes, and maintain reliable revenue datasets.

Leads Order to Revenue process compliance for a usage-based revenue engine. Oversees usage remediation, root-cause analyses, partner reporting, metrics, financial reserves, revenue recognition adjustments, SOPs, and cross-functional collaboration with Engineering and business teams. Ensures operational execution aligns with compliance requirements and partnership terms while improving financial accuracy and resolving recurring issues.

Leads order-to-revenue compliance for usage-based revenue, overseeing metering, billing controls, product launches, partner royalty reconciliations, SOX compliance, audits, technical accounting, and issue remediation. Manages functional leads and partners with Engineering, Finance Data Systems, Sales Operations, FP&A, executives, and auditors to validate monetization processes, resolve metering issues, and ensure accurate revenue conversion.

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

Reviews securities and wealth-management compliance work products, including periodic client reviews, Reg BI and DOL rollover attestations, marketing communications, and structured-product or alternative-investment supervision. Identifies deficiencies, cites applicable controls and regulations, drafts audit-trail entries and reviewer dispositions, and evaluates compliance with FINRA, SEC, suitability, and supervisory requirements.

Leads sector-wide compliance and audit management for government acquisition and procurement pricing. Oversees adherence to FAR, DFARS, DCAA CAM, company policies, and regulations; coordinates with U.S. government auditors; ensures internal controls and performance metrics remain effective; and manages proposal, cost-estimating business system, and post-award audits. Presents analyses to senior leadership and leads a team of compliance professionals while serving as the primary focal point for government officials and the organization.

Develops and manages the bank’s compliance program, including regulatory monitoring, testing, reporting, training, policy oversight, complaint investigations, risk assessments, and audit support. Reviews marketing materials, disclosures, products, services, and operational activities for compliance. Researches banking regulations, advises business units and senior management, identifies systemic risks, supports remediation, and oversees compliance requirements involving BSA, AML, OFAC, CIP, privacy, lending, deposits, payments, and operations.

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.

Administers donor-restricted funds throughout their lifecycle, interprets gift agreements and governing documents, ensures compliance with donor intent and regulations, conducts compliance reviews, supports audits and governance initiatives, prepares analyses and reports, and improves fund administration processes, controls, procedures, and documentation. The role collaborates with Finance, Development, Legal, campus partners, and other stakeholders while coordinating strategic initiatives and technology enhancements.

Manages compliance and privacy governance, strategic initiatives, risk tracking, reporting, documentation, and accountability across cross-functional teams. Coordinates governance forums, KPIs, dashboards, issue remediation, controls, workflows, communications, and audit-readiness activities. Partners with business, legal, compliance, audit, and operations stakeholders to standardize processes, embed requirements, improve efficiency, and support change management.

Leads state and local income tax compliance operations, supervises multiple engagements, reviews complex multistate returns, handles tax authority notices and client representation, researches complex tax matters, and drives business development. Manages budgets, develops employees, coordinates department activities, and provides firm leadership. Requires deep expertise in state tax concepts, pass-through taxation, compliance technology, client service, and team management.

Provides compliance oversight for marketing and sales literature involving investment vehicles such as ETFs, mutual funds, alternative investments, SMAs, and CITs. Reviews communications for securities advertising compliance, advises marketing stakeholders on regulatory requirements and disclosures, evaluates recordkeeping, maintains review controls, identifies risks, and recommends process improvements. Collaborates with legal, compliance, and risk teams while managing priorities and deadlines in a regulated investment environment.

Leads domestic and international royalty, licensing, participation, and contract compliance audits from planning through settlement support. Responsibilities include interpreting agreements, directing fieldwork, analyzing financial and operational records, identifying recoveries, preparing executive reports, managing client and third-party relationships, using analytics and visualization tools, and supervising audit staff. The role also oversees budgets, staffing, schedules, risk-based audit selection, quality reviews, and continuous improvement across a global portfolio.