Compliance Specialist Jobs in Brea, CA
A Compliance Specialist in the finance industry is primarily responsible for ensuring that the organization adheres to a variety of regulations, laws, and professional standards. They monitor, evaluate and communicate the organization's compliance status with respect to these regulations. They often conduct regular audits, implement compliance strategies, and provide compliance training to employees. Some Compliance Specialists may also be involved in developing targeted risk assessment methodologies, carrying out specific risk assessments, and building risk management plans.
Important skills for a Compliance Specialist include strong analytical abilities, excellent attention to detail, and solid communication skills. Knowledge of regulatory laws and standards in the finance industry is crucial. Compliance Specialists should also be able to use auditing software and other tools. In terms of certification, Certified Regulatory Compliance Manager (CRCM) is a popular one, while Certified Anti-Money Laundering Specialist (CAMS) and Certified Financial Crime Specialist (CFCS) are also useful. Previous job roles for someone considering becoming a Compliance Specialist may include Compliance Analyst, Risk Analyst, or Regulatory Affairs Specialist.
Compliance & Regulatory Affairs Specialist
- Diamond Bar, CA (6 miles from Brea, CA)
- 15 hours ago
- Diamond Bar, CA (6 miles from Brea, CA)
- 15 hours ago
At Niagara, we're looking for Team Members who want to be part of achieving our mission to provide our customers the highest quality most affordable bottled water. Consider applying here, if you...
- Irvine, CA (14 miles from Brea, CA)
- 8 days ago
- Irvine, CA (14 miles from Brea, CA)
- 8 days ago
"I can succeed as a Senior Compliance Associate at Capital Group." As a Senior Compliance Associate, you will help to ensure we comply with regulations, requirements, and policies. You'll conduct...
- Irvine, CA (14 miles from Brea, CA)
- 9 days ago
- Irvine, CA (14 miles from Brea, CA)
- 9 days ago
Who We Are Founded in 1965, UC Irvine is a member of the prestigious Association of American Universities and is ranked among the nation's top 10 public universities by U.S. News & World Report....
Risk and Compliance Analyst University of California Irvine
- Irvine, CA (14 miles from Brea, CA)
- 10 days ago
- Irvine, CA (14 miles from Brea, CA)
- 10 days ago
Who We Are Founded in 1965, UC Irvine is a member of the prestigious Association of American Universities and is ranked among the nation's top 10 public universities by U.S. News & World Report....
- Los Angeles, CA (21 miles from Brea, CA)
- 10 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 10 days ago
I can succeed as a Senior Compliance Associate at Capital Group. As a Senior Compliance Associate, you will help to ensure we comply with regulations, requirements, and policies. Youll conduct...
IT GRC (Governance, Risk & Compliance) Analyst
- Irvine, CA (14 miles from Brea, CA)
- 10 days ago
- Irvine, CA (14 miles from Brea, CA)
- 10 days ago
Kura Sushi USA is a publicly traded U.S. company established in 2008 as a subsidiary of Kura Sushi, Inc. We are an innovative and tech interactive Japanese restaurant chain serving up the ultimate...
Senior Regulatory Affairs Specialist - BD Advanced Patient Monitoring
- Irvine, CA (14 miles from Brea, CA)
- 11 days ago
- Irvine, CA (14 miles from Brea, CA)
- 11 days ago
Becton Dickinson (BD) recently completed the acquisition of the Edwards Critical Care business. This position is part of the Critical Care division, and as such will become a part of the BD...
- Los Angeles, CA (21 miles from Brea, CA)
- 11 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 11 days ago
The Information Security Regulatory Compliance Analyst is responsible for ensuring that the organization's information security policies and practices comply with relevant laws, regulations, and...
Employment Type: Salaried Work Arrangement: Remote Position Summary: We are seeking a Regulatory Compliance Specialist to join our team of food regulatory professionals, to provide expertise in regulatory...
- Newport Beach, CA (23 miles from Brea, CA)
- 13 days ago
- Newport Beach, CA (23 miles from Brea, CA)
- 13 days ago
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities,...
IS Regulatory Compliance Analyst - IS Security - Full Time 8 Hour Days (Non-Exempt) (Non-Union)
- Los Angeles, CA (21 miles from Brea, CA)
- 14 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 14 days ago
The Information Security Regulatory Compliance Analyst is responsible for ensuring that the organization's information security policies and practices comply with relevant laws, regulations, and...
- Los Angeles, CA (21 miles from Brea, CA)
- 14 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 14 days ago
Axos Bank Target Range: $100,000.00/Yr. - $115,000.00/Yr. Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and...
- Los Angeles, CA (21 miles from Brea, CA)
- 16 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 16 days ago
COMPLIANCE OFFICER SENIOR WHAT IS THE OPPORTUNITY? The Senior Consumer Compliance Officer is responsible for managing and maintaining assigned areas of the compliance program covering consumer...
- Irvine, CA (14 miles from Brea, CA)
- 22 days ago
- Irvine, CA (14 miles from Brea, CA)
- 22 days ago
"I can succeed as a Senior Compliance Associate at Capital Group." We are recruiting for a Senior Compliance Associate for our Client Services Compliance Team which provides compliance support for...
Regulatory Compliance, Associate
- Los Angeles, CA (21 miles from Brea, CA)
- 22 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 22 days ago
Would you like to join an international team working to improve the future of healthcare? Do you want to enhance the lives of millions of people? Grifols is a global healthcare company that since...
Demographic Data for Brea, CA
Moving to Brea, CA? Find some basic demographic data about Brea, CA below.
Compliance Specialist Online Courses and Training Opportunities
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Salary for Compliance Specialist Jobs in Brea, CA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Brea, CA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- ISO Certified
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- ICH Guidelines
- OFAC
- 21 CFR 820
- Management Reporting
- BSA
- Wealth Management
- Internal Control
- Securities and Exchange Commission
- Capital Markets
- Fixed Income
- Employee Benefits
- Investment Banking
- Investment Management
- Lending
- Anti-Money Laundering
- Financial Services
- Business Processes
- Fraud Investigation
- Medicaid
- Finance
- Liaison
- Change Management
- Accounting
- Risk Management
- Strategy Development
- Process Improvement
- Analytical Skills
- Implementation
- Decision Making
- Written Communication
- Verbal Communication
- Investigation
- Auditing
- Collaboration
- Documentation
- Flexibility
- Reporting
- Interpersonal Skills
- Bachelor's Degree
- Filing
- Microsoft PowerPoint
- Regulations
- Policy Development
- Sales
- Project Management
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Staff Supervision
- Organization
- Research Skills
- Scheduling
- Leadership
- Communication Skills
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