Compliance Analyst

Compliance Analyst

Location: Greater Los Angeles AreaCompensation: $90,000 - $120,000The OpportunityA growing financial services firm is looking to add a Compliance Analyst to its team.This individual will support a variety of day-to-day compliance and regulatory activities and work closely with senior members of the compliance function.

The role offers broad exposure across the business and the opportunity to take ownership of recurring compliance responsibilities and projects.Key ResponsibilitiesSupport ongoing compliance monitoring and testingAssist with regulatory filings and reporting requirementsReview business and marketing materials from a compliance perspectiveHelp maintain and update internal policies and proceduresAssist with employee compliance mattersSupport periodic compliance reviews and regulatory examinationsMaintain required compliance documentation and recordsAssist with employee training and onboardingMonitor relevant regulatory developmentsPartner with teams across the business on compliance-related questionsSupport additional regulatory and compliance projects as neededIdeal Background3-7+ years of compliance or regulatory experienceExperience within financial services, investment management, wealth management, or a related organizationFamiliarity with financial services regulations and compliance programsExperience with compliance monitoring, testing, or regulatory reportingStrong attention to detail and organizational skillsAbility to manage multiple priorities independentlyStrong written and verbal communication skillsBachelor's degree preferred