Top 39 Chief compliance officer Jobs in California

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
Chief Compliance Officer (CCO) - US
Allocator One Group —San Francisco, CA
- $200,000 - $280,000 a year
- Remote
- 7 years
- CPA
- Senior level
Quick Apply
Director of Compliance
Vestis —California
- $124,800 - $165,000 a year
- Online Application
- Remote
- 5 years
- Writing skills
- Analysis skills
Quick Apply
Chief Compliance Officer
Camino Health Center —San Juan Capistrano, CA
- $185,000 a year
- Hybrid work
- HIPAA
- Master's degree
- Bachelor's degree
Quick Apply
Director, Compliance
Figure Lending —San Francisco, CA
- $136,500 - $204,600 a year
- Remote
- System design
- Residential
- 8 years
- Continuing education credits
- Commuter assistance
Quick Apply
Chief Healthcare Compliance Officer, Genentech
Genentech —San Francisco, CA
- $334,985 - $413,805 a year
- Online Application
- 8 years
- Continuous improvement
- Mentoring
Chief Regulatory Affairs & Compliance Officer
SAN JOAQUIN COUNTY HEALTH COMMISSION —French Camp, CA
- $300,000 - $440,000 a year
- Hybrid work
- Customer service
- 5 years
- Master's degree
- Wellness program
- AD&D insurance
Quick Apply
Director of Compliance and Assurance
Fluor Federal Services —Fresno, CA
- $145,500 - $270,500 a year
- 11+ years
- Bachelor's degree
- Travel
- AD&D insurance
- Disability insurance
Director of Compliance and Assurance
Fluor Corporation —Sacramento, CA
- $145,500 - $270,500 a year
- 11+ years
- Bachelor's degree
- Travel
- AD&D insurance
- Disability insurance
Sr. Director Chief Risk and Compliance
Midland Credit Management —San Diego, CA
- $201,400 - $261,600 a year
- Full-time
- Office
- Finance
- Master's degree
- Paid training
- Paid holidays
Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)
Frec Markets, Inc. —San Francisco, CA
- $180,000 - $260,000 a year
- Full-time
- Hybrid work
- Senior level
- Communication skills
- Dental insurance
- 401(k)
Chief Compliance and BSA-AML Officer
Kind Lending, LLC —Irvine, CA
- $225,000 a year
- Full-time
- Basic math
- Office
- Master's degree
Quick Apply
7d
Director of Compliance
Wealthfront —Palo Alto, CA
- $215,000 - $246,875 a year
- Full-time
- Office
- Analysis skills
- Team management
- Health insurance
- Dental insurance
Director, Compliance Risk
Qcells —Irvine, CA
- Full-time
- PMP
- Office
- Residential
Quick Apply
Senior Director, Compliance
GoFundMe —San Francisco, CA
- $253,000 - $380,000 a year
- Full-time
- 11+ years
- Bachelor's degree
- Experience equivalent to degree accepted
- Health insurance
- Dental insurance
Quick Apply
Chief Executive Officer
CIBD —Orange, CA
- $285,000 a year
- Full-time
- Background check
- Doctoral degree
- Adults
- 403(b) matching
- Paid holidays
Quick Apply
Senior Vice President, Chief Ethics & Compliance Office
Gilead Sciences —Foster City, CA
- Full-time
- HIPAA
- 11+ years
- Office
5d
Director, Compliance Product Advisory
Upgrade —San Francisco, CA
- Remote
- English
- Analysis skills
- Project management
- Paid parental leave
- Health insurance
Quick Apply
8d
Director of Compliance and Delegation Oversight
COPE Health Solutions —Los Angeles, CA
- $172,100 - $218,200 a year
- Full-time
- Hybrid work
- Office
- Travel
- Senior level
- Paid parental leave
- Health insurance
7d
Sr. Director, Compliance & Ethics
Bloom Energy —San Jose, CA
- $246,800 - $355,200 a year
- Full-time
- 11+ years
- Office
- Continuous improvement
- Health insurance
- Dental insurance

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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

chief compliance officer jobs in california

Chief Compliance Officer

Chief Compliance Officer (CCO) - US

Director of Compliance

Chief Compliance Officer

Director, Compliance

Chief Healthcare Compliance Officer, Genentech

Chief Regulatory Affairs & Compliance Officer

Director of Compliance and Assurance

Director of Compliance and Assurance

Sr. Director Chief Risk and Compliance

Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)

Chief Compliance and BSA-AML Officer

Director of Compliance

Director, Compliance Risk

Senior Director, Compliance

Chief Executive Officer

Senior Vice President, Chief Ethics & Compliance Office

Director, Compliance Product Advisory

Director of Compliance and Delegation Oversight

Sr. Director, Compliance & Ethics

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