Top Compliance Jobs in Los Angeles, CA

Monitor trade activity and enforce investment guidelines and regulatory limits for commingled funds and separately managed accounts. Implement and test automated and manual compliance rules, research and resolve trade monitoring issues with Investment teams, prepare client reports, collaborate with Legal, Technology, Client Services and Operations, and support process improvement and technology initiatives.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and examination support across the U.S.; coordinate regulator communications, filing calendars, and licensing strategy; support product and geographic expansion; oversee remediation, external counsel, and mentor licensing staff.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and exam coordination. Own filings, regulator communications, licensing inventories, change-of-control matters, and licensing support for product and geographic expansion. Monitor regulatory developments, coordinate external counsel, and manage/mentor licensing personnel.

Owner of fraud, collections, and back-office compliance for Mission Lane's credit card business. Serve as embedded compliance authority, manage escalations, run testing and monitoring of controls, identify gaps, provide regulatory guidance, partner with business and Legal, and support program strategy and exam readiness.

Own and govern the enterprise AML/CFT and financial crimes training program: design role-based curriculum, align content to regulatory requirements and risk assessments, manage LMS and third-party vendors, monitor KPIs/KRIs, support audits and regulatory exams, drive onboarding and continuous learning, and report remediation and training effectiveness to senior leadership.

The VP oversees financial reporting and regulatory compliance, manages reporting processes, leads a team, and ensures accurate regulatory filings and governance protocols are met.

Design, implement, and optimize AI-powered solutions to support financial compliance and controls. Monitor GAAP/IFRS adherence, automate controls and reporting, support internal/external audits, and manage complex accounting areas like revenue recognition and lease accounting while collaborating with finance, audit, and technology teams.

Review retail advertising and marketing communications for compliance with firm policy, FINRA and SEC rules; document and retain records; explain required changes to submitters; research policy questions; maintain internal compliance materials; follow vendor workflows; assist team members and meet service-level timeframes.

Own lifecycle management of multi-state mortgage and consumer lending licenses, lead state regulatory exam responses and remediation, prepare and submit required state filings and Mortgage Call Reports, coordinate cross-functional data reconciliation for regulatory reporting, and manage licensing and corporate notifications.

As a Crypto Compliance AML Analyst, you will monitor and investigate AML and fraud across crypto transactions, ensuring regulatory compliance while improving systems and processes.

Manage the compliance risk program for mortgage lending by developing policies, ensuring adherence to laws, and conducting risk assessments.

Design and execute test scenarios for payroll tax compliance changes, validate tax calculations and outputs, document test results, manage defect lifecycle, collaborate with Compliance and Development to resolve issues, maintain test documentation and scenario libraries, and contribute to testing process improvements.

Lead month-end close and build government cost accounting and compliance infrastructure. Design cost allocation, indirect rates, audit-ready reporting, controls, policies, and support government/DCAA audits while partnering cross-functionally to scale finance operations.

The Director of Payroll Tax & Compliance oversees payroll tax operations, ensuring compliance with regulations, managing teams and external vendors, and driving process improvements. Responsibilities include tax filings, audits, and consulting on payroll-related issues while leading a team effectively.

The Treasury & Compliance Manager ensures accurate execution of capital movements and regulatory compliance across funds, overseeing cash operations, regulatory filings, and risk management processes.

Lead design and implementation of a financial compliance program (COSO/AICPA), perform risk assessments, document processes and controls, execute periodic testing and remediation, manage deficiency tracking, coordinate with external auditors, and report control status to the CFO and executive leadership.

Lead Vesta's mortgage compliance function as the company's first compliance hire. Own regulatory interpretations, advise product on compliant design, ensure AI products meet investor and regulatory requirements, and support sales, implementations, and customer success with regulatory guidance. Monitor changes to mortgage regulation and translate requirements into product and customer action.

Manage and support the U.S. compliance program, focusing on BSA/AML, consumer compliance (Reg E, UDAAP), audits, regulatory remediation, policy maintenance, due diligence, and cross-functional coordination with regulators and stakeholders.

Conduct consumer compliance reviews and regulatory testing, document findings and risks, validate remediation, prepare defensible workpapers and reports, advise business partners, and support special projects to ensure adherence to federal and state consumer finance regulations.

Manage day-to-day execution of SOX program including controls and testing, lead a global team, optimize processes, and collaborate with auditors.

The Compliance Analyst reviews contractual obligations, manages distributions post-closing, liaises with clients and internal teams, and ensures compliance and accuracy in fund distribution processes.

Monitor federal, state, and local tax agencies for payroll-related regulatory changes; research and interpret routine requirements; document authoritative guidance and data needs; create clear change requests for downstream teams; maintain agency relationships and audit-ready records; communicate updates to stakeholders and support process improvement initiatives.

The Risk & Compliance Specialist manages compliance frameworks, focusing on contracts and regulatory requirements, while mitigating risks for the organization.

Lead operationalization of the Compliance Management System: measure and rank compliance risk, design controls, manage policies, run risk-based monitoring and testing, coordinate exams, drive issue remediation, report KPIs to leadership and board, and directly manage compliance staff while partnering across business, operations, and technology.

Lead development and oversight of the bank's Compliance Management System. Drive policy creation, regulatory exam management, metrics and MIS reporting, technology initiatives, remediation of gaps from audits/exams, stakeholder reporting, and manage regulator and internal audit requests to ensure deposit, lending, privacy, and consumer compliance.