Top 517 Compliance Jobs in Burbank, Ca

Chief Compliance Officer
Tamar Securities LLC —Woodland Hills, CA
- $200,000 - $375,000 a year
- Full-time
- Background check
- Office
- Organizational skills
- Profit sharing
- Health insurance
Quick Apply
Environmental Compliance Consultant
Associated Environmental Management —South Pasadena, CA
- $75,000 - $100,000 a year
- Full-time
- Spanish
- Doctoral degree
- 5 years
- Health insurance
- Dental insurance
Quick Apply
Logistics and Hazmat Compliance Supervisor
Confidential —Valencia, CA
- $70,000 - $85,000 a year
- Full-time
- Background check
- Mid-level
- Analysis skills
- Health insurance
- Dental insurance
Quick Apply
6d
Compliance Manager – Affordable Housing - CORP
Aperto Property Management, Inc —Santa Clarita, CA
- $95,000 - $105,000 a year
- Full-time
- 5 years
- Travel
- Mentoring
- Disability insurance
- Health insurance
Quick Apply
Compliance Officer-Deposits and Payment Operations
City National Bank —Studio City, CA
- $70,000 - $145,000 a year
- 5 years
- Research
- Analysis skills
- Health insurance
- Dental insurance
2d
Compliance Officer-Deposits and Payment Operations
City National Bank —Los Angeles, CA
- $70,000 - $145,000 a year
- 5 years
- Research
- Analysis skills
- Health insurance
- Dental insurance
2d
Compliance Officer-Deposits and Payment Operations
City National Bank —Los Angeles, CA
- $70,000 - $145,000 a year
- 5 years
- Research
- Analysis skills
- Health insurance
- Dental insurance
2d
Environmental Compliance Analyst
Associated Environmental Management —South Pasadena, CA
- $60,000 - $70,000 a year
- Full-time
- Spanish
- Bachelor of Science
- English
- Health insurance
- Dental insurance
Quick Apply
Compliance Analyst
WelbeHealth —Los Angeles, CA
- $82,074.03 - $108,337.72 a year
- Remote
- Microsoft Outlook
- Research
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
11d
Manager, Compliance
Warner Bros. Discovery —Burbank, CA
- $86,800 - $161,200 a year
- Full-time
- 3 years
- Contracts
- Senior level
- Wellness program
- Paid holidays
11d
Investment Compliance Analyst
Franklin Templeton Investments —Pasadena, CA
- $78,800 - $92,600 a year
- Email
- Hybrid work
- Research
- Mid-level
- Office
- Health insurance
- Dental insurance
Compliance Officer
AIDS Healthcare Foundation —Los Angeles, CA
- $155,000 - $165,000 a year
- HIPAA
- Senior level
- Health insurance
Quick Apply
Compliance Analyst
UCLA Health —Los Angeles, CA
- $86,400 - $184,800 a year
- Research
- Mid-level
- 3 years
Securities Compliance Examiner
US Securities and Exchange Commission —Los Angeles, CA
- $123,242 - $283,417 a year
- Online Application
- Hybrid work
- Background check
- Pass drug screening
- Office
9d
Claims Auditor, Managed Care (remote)
Cedars-Sinai —Los Angeles, CA
- $27.74 - $43.00 an hour
- 8 hour shift
- Remote
- Mid-level
- High school diploma or GED
- Bachelor's degree
- Health insurance
- Dental insurance
Assurance Testing Specialist, Global Compliance
Google —Los Angeles, CA
- $136,000 - $197,000 a year
- Full-time
- 7 years
- Office
- Bachelor's degree
Compliance Coordinator
Imperial Management Administrators Services Inc —Pasadena, CA
- $28 - $33 an hour
- HIPAA
- English
- Mid-level
Quick Apply
Compliance Coordinator
Coast Medical Service - Internal —Hermosa Beach, CA
- $50,000 - $60,000 a year
- Travel nursing
- Remote
- Pass drug screening
- Mid-level
- Organizational skills
- Disability insurance
- Health insurance
Environmental Compliance Inspector 4292 Bb
City of Los Angeles, CA —Los Angeles, CA
- $89,241 - $123,588 a year
- Full-time
- Construction site
- Mid-level
- Commercial
Compliance Specialist
WHEELS FINANCIAL GROUP LLC —Van Nuys, CA
- $28.00 - $33.80 an hour
- Full-time
- Hybrid work
- Microsoft Excel
- Microsoft Outlook
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
12d

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compliance jobs near burbank, ca

Chief Compliance Officer

Tamar Securities LLC
Woodland Hills, CA

Quick Apply

Job Details

Full-time
$200,000 - $375,000 a year

Benefits

Profit sharing
Health insurance
Dental insurance
Paid time off
Vision insurance
401(k) matching
Life insurance

Qualifications

Law
Spreadsheets
Governance, risk, and compliance (GRC) software
Legal document sorting and filing
Doctor of Law (JD)
Organizational integration coordination
Organizational skills
Law office experience
Audit management tools
Due diligence
Legal due diligence experience

Full Job Description

Job Summary
We are seeking a dynamic and highly skilled Chief Compliance Officer (CCO) to lead our legal and compliance functions. This pivotal role involves providing expert legal guidance across a broad spectrum of legal areas, ensuring adherence to regulatory standards, and safeguarding the organization’s integrity. The ideal candidate will be proactive, detail-oriented, and possess a comprehensive understanding of diverse legal disciplines, including estate planning, environmental law, securities law, litigation, and more. As a strategic partner to executive leadership, you will shape policies, oversee legal risk management, and foster a culture of compliance and ethical excellence.

Responsibilities

Compliance Program Execution (in partnership with External CCO)

Act as the primary internal liaison to the external CCO, ensuring effective communication and implementation of compliance initiatives.
Support the development, maintenance, and execution of the firm’s compliance policies and procedures.
Assist in administering the Code of Ethics, personal trading monitoring, and employee compliance certifications.
Coordinate and support regulatory filings (e.g., Form ADV updates, amendments, and state notices).
Prepare materials and documentation for annual reviews conducted by the external CCO.

Regulatory Coordination & Exams

Serve as the internal point of contact for regulatory examinations and information requests.
Coordinate document gathering, responses, and follow-ups with the external CCO and regulators.
Track and remediate compliance issues identified through exams or internal reviews.

M&A Due Diligence & Integration

Lead compliance due diligence efforts for prospective acquisitions, including:
Review of policies and procedures, Form ADV, client agreements, and compliance history
Identification of regulatory risks, conflicts, and potential liabilities
Partner with legal, finance, and deal teams to support transaction execution.
Coordinate with the external CCO to assess compliance implications of transactions.
Support post-close integration, including:
Aligning acquired firms with the existing compliance framework
Updating disclosures, policies, and regulatory filings
Assisting with onboarding and training of acquired personnel

Monitoring & Testing

Execute compliance testing and monitoring activities as directed by the external CCO.
Review marketing materials, communications, and advisory practices for regulatory compliance.
Track and escalate compliance risks, conflicts of interest, and policy exceptions.

Training & Internal Support

Deliver compliance training to employees and newly onboarded teams from acquisitions.
Serve as a day-to-day resource for employees on compliance-related questions and issues.
Promote a culture of compliance and accountability across the firm.

Recordkeeping & Reporting

Maintain required books and records in accordance with SEC and state regulations.
Prepare internal compliance reports and assist the external CCO with formal reporting.

Qualifications

Clean U-4 required.
Series 7, 63, or 65.
At least two years of experience in investment adviser compliance, securities law, or related legal/regulatory roles.
Demonstrated experience supporting mergers and acquisitions, including compliance/legal due diligence and post-transaction integration.
Strong working knowledge of the Investment Advisers Act of 1940, SEC regulations, and fiduciary obligations applicable to RIAs.
Strong foundation in investment adviser compliance within SEC-registered environments, with the ability to operationalize regulatory requirements into practical policies and procedures.
Serves as a key internal liaison to external compliance leadership, coordinating filings (incl. Form ADV), annual reviews, and ongoing program execution.
Experience supporting M&A transactions, leading compliance due diligence and assisting with post-close integration across acquired advisory platforms.
Handles regulatory exams and inquiries end-to-end, including document coordination, regulator interaction, and remediation tracking.
Trusted compliance partner with strong interpersonal instincts-advises on day-to-day issues, delivers training, and promotes a firm-wide culture of compliance.
Experience working with or alongside an external/outsourced Chief Compliance Officer (CCO) preferred.
Familiarity with Form ADV, regulatory filings, compliance testing, and SEC/state examination processes.
Prior experience in a law firm, regulatory agency, or in-house legal/compliance role within wealth management or asset management is a plus.
High Social Intelligence skills.Key Skills & Competencies
Strong execution and project management skills
Ability to translate regulatory guidance into operational processes
Experience coordinating across internal teams and external advisors
Detail-oriented with strong organizational abilities
Effective communicator with the ability to escalate issues appropriately
Juris Doctor (JD) is preferrable from an accredited law school.
Active bar membership in good standing strongly preferred; candidates currently practicing law (e.g., in-house or at a law firm) are highly desirable.

Reporting Structure

Reports to Chief Operating Officer (COO) with a dotted-line/functional reporting relationship to the external Chief Compliance Officer (CCO).

Pay range and compensation package

Attractive base salary plus bonuses, including a 401K match, discretionary profit sharing, health care coverage, vision, dental, and life insurance.

Pay: $200,000.00 - $375,000.00 per year

Benefits:

401(k) matching
Dental insurance
Health insurance
Life insurance
Paid time off
Vision insurance

Work Location: In person

Quick Apply

Refine Your Search

compliance jobs in burbank, ca

Chief Compliance Officer

Environmental Compliance Consultant

Logistics and Hazmat Compliance Supervisor

Compliance Manager – Affordable Housing - CORP

Compliance Officer-Deposits and Payment Operations

Compliance Officer-Deposits and Payment Operations

Compliance Officer-Deposits and Payment Operations

Environmental Compliance Analyst

Compliance Analyst

Manager, Compliance

Investment Compliance Analyst

Compliance Officer

Compliance Analyst

Securities Compliance Examiner

Claims Auditor, Managed Care (remote)

Assurance Testing Specialist, Global Compliance

Compliance Coordinator

Compliance Coordinator

Environmental Compliance Inspector 4292 Bb

Compliance Specialist

I want to receive the latest job alert for compliance in burbank, ca

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