Top Compliance Jobs in Los Angeles, CA

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.

Serve as the RIA compliance subject matter expert partnering with business teams to review marketing, product, and member communications; manage IAR registrations, OBAs, ADV filings; build policies and procedures; handle member compliance issues; and support governance of proprietary and AI-driven tools.

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.

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.

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.

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.

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.