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2 results for Compliance Manager Legal in Pasadena, CA

Compliance Consultant

Pasadena, CA
remote
Temporary / Contract
43 - 45 USD / Hourly
We are looking for a detail-oriented Compliance Consultant to join our team in Pasadena, California. This is a long-term contract position ideal for an individual with experience in regulatory compliance and document review processes. The role involves ensuring adherence to policies, preparing submissions for regulatory bodies, and tracking document statuses while collaborating with stakeholders. This position offers a combination of remote work and occasional on-site meetings. Responsibilities: • Conduct thorough reviews of compliance-related documents to ensure quality and accuracy. • Prepare documentation for submission to regulatory agencies, ensuring all requirements are met. • Monitor and track the status of documents, providing regular updates to project managers. • Analyze conflict of interest disclosures and report findings to the compliance manager. • Perform monitoring activities by comparing outcomes to established policies and source documents. • Develop reports and communications to alert leadership about key risks and compliance issues. • Utilize tools such as Microsoft Excel and SharePoint to manage compliance-related data effectively. • Participate in training sessions and conferences to stay updated on compliance standards. • Collaborate with team members and stakeholders to address compliance challenges and implement solutions. • Support risk monitoring initiatives by creating detailed reports and actionable insights.
2026-04-23T00:00:00Z

Audit/Compliance Specialist

Los Angeles, CA
onsite
Temporary / Contract
60 - 70 USD / Hourly
We are looking for a highly skilled Audit/Compliance Specialist to join our team on a contract basis in Los Angeles, California. In this role, you will focus on ensuring compliance with financial regulations, particularly in anti-money laundering (AML) and sanctions screening. This position offers an excellent opportunity to contribute to the financial services industry through detailed evaluations and process improvements. Responsibilities:• Conduct thorough quality assurance reviews of alerts, investigations, and regulatory filings to ensure compliance with internal policies and external regulations.• Evaluate the effectiveness of anti-money laundering (AML) and sanctions screening processes, identifying potential gaps or areas for improvement.• Prepare detailed reports outlining findings from quality assessments and provide actionable recommendations for enhancing compliance procedures.• Collaborate with teams to deliver feedback and support continuous improvement initiatives.• Monitor adherence to regulatory requirements and industry standards, including those outlined by governing bodies.• Analyze financial reporting and auditing processes to ensure alignment with compliance objectives.• Oversee month-end close activities, ensuring accuracy and compliance with regulatory expectations.• Utilize ERP solutions and accounting systems to manage compliance-related data efficiently.• Support OFAC processes as well as review EDD, CDD efforts• Stay updated on changes in financial regulations and recommend adjustments to compliance strategies as needed.
2026-04-14T00:00:00Z