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Regulatory Compliance Specialist Risk Manager/Analyst

RIA Compliance & Operations Leader

Job in Monrovia, Los Angeles County, California, 91017, USA
Listing for: TransGlobal
Full Time position
Listed on 2026-01-03
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Risk Manager/Analyst
  • Management
    Regulatory Compliance Specialist, Risk Manager/Analyst
Salary/Wage Range or Industry Benchmark: 70000 - 100000 USD Yearly USD 70000.00 100000.00 YEAR
Job Description & How to Apply Below
A leading financial services firm in California seeks a RIA Operations Manager to oversee regulatory compliance, manage operational support, and ensure adherence to SEC and FINRA requirements. The role requires strong organizational and communication skills with a minimum of 5 years experience in compliance or operations. A collaborative culture offers opportunities for career growth and impactful work in a diverse environment.

Compensation starts at $70K and can go up to $100K per year depending on experience.
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Position Requirements
5+ Years work experience
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