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Regulatory Compliance Specialist Financial Services Financial Compliance

RIA Compliance Analyst — AI-Driven RegTech Impact

Job in San Francisco, San Francisco County, California, 94199, USA
Listing for: Luthor
Full Time position
Listed on 2026-02-16
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services, Financial Compliance
Salary/Wage Range or Industry Benchmark: 60000 - 80000 USD Yearly USD 60000.00 80000.00 YEAR
Job Description & How to Apply Below
A financial compliance firm is looking for a Compliance Analyst to support RIA clients with regulatory compliance. Responsibilities include reviewing marketing materials, managing client Code of Ethics programs, and conducting mock SEC examinations. The ideal candidate has at least 2 years of compliance experience, a Bachelor’s degree, and excellent writing skills. The position offers competitive compensation, comprehensive benefits, and growth opportunities within the company.
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