Top Compliance Jobs in Los Angeles, CA

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

Lead and manage the enterprise SOX control framework: scope, risk assessment, control design, documentation, testing, deficiency remediation, and auditor liaison. Partner cross-functionally to embed controls in transformations and drive automation and efficiency across the program.

Lead enterprise Compliance Testing and Monitoring for consumer lending, designing risk‑based test plans, automated testing solutions, and monitoring frameworks; oversee execution, issue tracking, remediation, regulatory readiness, and executive/Board reporting while managing a team of compliance professionals.

Ensure Tilt's products, processes, and customer interactions comply with regulations. Manage complaints, perform UDAAP risk mapping and state regulatory research, test AI chatbot workflows, support audits, and drive process improvements through automation and data analysis.

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.

Implement investment policy controls in Bloomberg AIM and manage the full trading compliance lifecycle for ETFs, including pre- and post-trade monitoring, exception documentation, issue identification, and stakeholder communication. Support portfolio oversight, use compliance systems and analytics tools, and streamline processes with AI tools while ensuring adherence to ETF disclosure documents and regulatory requirements.

Design, implement, and lead a risk-based BSA/AML and sanctions compliance program; serve as board-appointed BSA and OFAC officer; own KYC/KYB, transaction monitoring, SAR reporting, cross-border controls, regulatory and bank engagement, vendor selection, licensing strategy, team building, and embed compliance across product and engineering.

Oversee the bank's complaints compliance program: review and approve complaint responses, liaise with regulators, open and document cases in a GRC tool, perform root cause and trend analysis, produce regulatory reporting, develop processes and job aids, coach analysts, and support compliance projects and audits.

The Compliance Officer ensures adherence to regulatory standards through inspections, training, policy updates, and investigations, requiring strong analytical skills and clear communication.

Execute risk-based compliance monitoring and testing to validate bank adherence to laws and regulations. Develop workpapers, report findings with root-cause analysis, verify remediation, perform complaint and data analytics, use social media listening and AI tools for marketing compliance, and support annual risk assessments while maintaining stakeholder relationships.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.

Perform onboarding and ongoing compliance oversight for Registered Investment Advisor (RIA) representatives, including U4/U5 and ADV 2B filings, monitoring Outside Business Activities, compliance testing, regulatory research, responding to inquiries, and coordinating with internal stakeholders to mitigate compliance risks.

Lead IT assurance, risk, and SOX compliance efforts by assessing controls, partnering with business and technology teams, and modernizing testing through automation, analytics, and AI. Provide advisory reviews, improve control design, and drive scalable compliance solutions while collaborating with auditors and stakeholders.

Evaluate fraud concerns, resolve payment exceptions, and manage bank reconciliations. Communicate with security holders and banking partners, prepare reconciliation and reporting, process transfers, and identify process improvements. Support deal-driven schedules, occasionally working evenings or weekends.

The analyst will research filing requirements, prepare and monitor P&C rate filings, communicate revisions, support compliance operations, and monitor regulations pertinent to assigned products.

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 manage a compliance assurance team to build and run a compliance management system. Develop and execute monitoring, testing, risk assessments, reporting, root cause analysis, and provide regulatory guidance across core bank and fintech partners. Support audits, examinations, and present findings to senior leadership and the Board.

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.

Monitor real-time and historical derivatives trading to detect market abuse, investigate flagged transactions, prepare investigative reports, ensure regulatory compliance, support KYC/AML enforcement, and collaborate with Legal, Risk, and Technology to improve surveillance protocols.

Support compliance monitoring, testing, and branch audits for acquired firms during integration. Conduct risk assessments, audits, and branch exams; identify trends, document workpapers, track remediation action plans, assist policy development, and report to Compliance leadership while staying current on regulatory developments.

Design, implement, and administer the firm's enhanced-risk monitoring and supervision framework for clients, employees, advisors, and business practices. Develop risk-scoring and high-risk criteria, oversee enhanced due diligence, manage heightened supervision plans, perform risk assessments, produce dashboards and reports, and support regulatory readiness and audit documentation.

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.