1832 Compliance Monitoring Analyst jobs in Los Angeles,CA

Bachelor's degree required
If a Credit Qualifiable job, Credit Qualifications and associated credit knowledge and skills according to the credit portfolio requirements and qualification standards.
Any other related discipline or commensurate work experience considered.
Technical proficiency gained through education and/or business experience.
Problem Solving
Collaboration
Detail-Oriented
Analytical Thinking
Loan Structuring
Regulatory Compliance
Portfolio Management
Credit Risk Assessment
Banking Operations
Microsoft Office
Data analysis tools
Financial analysis

Waste Management

Vernon, CA 90058

High School Diploma or GED (accredited)
2 years of related experience or training, or combination of experience and training, demonstrating strong communication skills and tact in providing superior service in a variety of settings and situations.
"Current driver's license Upon Hire"

Disney Experiences

Glendale, CA 91201

Ontic

Chatsworth, CA 91311

Intercare Therapy

Huntington Park, CA 90255

Master's degree in education, psychology, counseling, behavior analysis, behavior science, human development, social work, rehabilitation, or related field, required

Mutual of Omaha

Torrance, CA 90501

5+ years of experience in a securities supervision, compliance, or related role within the financial services industry.
Active FINRA registrations (Series 7 or 1; Series 24 or 9/10; Series 63/65 or 66; Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding.
Strong working knowledge of FINRA, SEC, and MSRB rules, with the ability to analyze sales activity, exception reports, and investigations to ensure regulatory and firm compliance.
Travel up to 10% with flexibility across time zones.
Ability to work at our home office located in Omaha, Nebraska or a listed location, in a hybrid environment.