Regulatory Compliance Analyst — Monitoring & Reporting

Larson Maddox; Rapid City (SD); Sur place; USD 90 000 - 120 000; Plein temps

Résumé du poste

Larson Maddox is seeking a Compliance Analyst to support day-to-day regulatory activities within a growing financial services team in the Greater Los Angeles Area.

You will work closely with senior compliance leaders, taking ownership of recurring responsibilities and projects while ensuring materials and processes meet regulatory standards. Strong analytical and communication skills are essential.

Qualifications

• 3-7+ years of compliance or regulatory experience.
• Experience in financial services, investment management, wealth management, or a related organization.
• Familiarity with financial services regulations and compliance programs.
• Experience with compliance monitoring, testing, or regulatory reporting.
• Strong written and verbal communication skills.

Responsabilités

• Support ongoing compliance monitoring and testing.
• Assist with regulatory filings and reporting requirements.
• Review business and marketing materials from a compliance perspective.
• Help maintain and update internal policies and procedures.
• Assist with employee compliance matters.
• Support periodic compliance reviews and regulatory examinations.
• Maintain required compliance documentation and records.
• Assist with employee training and onboarding.
• Monitor relevant regulatory developments.
• Partner with teams across the business on compliance-related questions.
• Support additional regulatory and compliance projects as needed.

Connaissances

Compliance experience

Attention to detail

Organizational skills

Communication skills

Multi-tasking

Formation

Bachelor's degree preferred

Description du poste

Larson Maddox is seeking a Compliance Analyst to support day-to-day regulatory activities within a growing financial services team in the Greater Los Angeles Area.

You will work closely with senior compliance leaders, taking ownership of recurring responsibilities and projects while ensuring materials and processes meet regulatory standards. Strong analytical and communication skills are essential.