Compliance Analyst

Compliance Analyst

Location: Greater Los Angeles Area

Compensation: $90,000 - $120,000

The Opportunity

A 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 Responsibilities

• Support ongoing compliance monitoring and testing
• Assist with regulatory filings and reporting requirements
• Review business and marketing materials from a compliance perspective
• Help maintain and update internal policies and procedures
• Assist with employee compliance matters
• Support periodic compliance reviews and regulatory examinations
• Maintain required compliance documentation and records
• Assist with employee training and onboarding
• Monitor relevant regulatory developments
• Partner with teams across the business on compliance-related questions
• Support additional regulatory and compliance projects as needed

Ideal Background

• 3-7+ years of compliance or regulatory experience
• Experience within financial services, investment management, wealth management, or a related organization
• Familiarity with financial services regulations and compliance programs
• Experience with compliance monitoring, testing, or regulatory reporting
• Strong attention to detail and organizational skills
• Ability to manage multiple priorities independently
• Strong written and verbal communication skills
• Bachelor's degree preferred