Compliance Specialist, Finance & Banking

6-Month Contract (Potential for extension)

JPC - 19814

Solugenix is assisting a client, a leading financial services company, in their search for a Compliance Specialist. This is a 6-month contract opportunity based out of Santa Ana, CA (Hybrid).

• Bachelor's degree in business, accounting or finance, or equivalent work experience.
• 5+ years of experience in risk management, internal controls, compliance, internal audit, or related field, preferably within the Commercial Banking and/or Fiduciary and Wealth Management industries.
• Experience with GRC or risk-management systems (Audit Board experience preferred).

• Knowledge of operational and regulatory risks and controls, and the related concepts and practices.
• Ability to establish and maintain effective working relationships at the senior management level across functional groups and business units.
• Excellent client service skills, Excellent organizational and analytical skills.
• Attention to detail, Excellent written and verbal communication skills.
• Excellent interpersonal, relationship-building and teamwork skills.
• Self-motivated; self-starter.
• Ability to manage multiple tasks, respond quickly to emergent problems, and focus both on long-range projects and immediate tasks.
• Proficient in Microsoft Word, Excel and PowerPoint.

• Develops a clear understanding of the enterprise and the existing risks and controls through review of documentation, including the enterprise risk assessment, risk assessment methodology, policies, and procedures.
• Translates complex operational processes into clear, structured risk and control language that is aligned with the established methodology.
• Identifies and documents evidence requirements for each control, including source systems, report names, and retention expectations.
• Facilitates working sessions with process owners to ensure that risk, control, and evidence details are accurately captured.
• Develops and maintains a detailed project plan covering risk documentation, control documentation, evidence mapping, and walkthroughs by process area.
• Tracks progress against established timelines, milestones, and deliverables, proactively identifying areas at risk of delay and escalating issues as needed.
• Monitors documentation quality, ensuring consistent application of the established methodology across all process areas; flags inconsistencies or gaps for review.
• Supports preparation of periodic progress updates for leadership.

• Works on problems of diverse scope where analysis of information requires evaluation of identifiable factors.
• Devises solutions based on limited information and precedents and adapts existing approaches to resolve issues.
• Uses evaluation, judgment, and interpretation to select the right course of action.

For CA, CO, IL, NJ, NY, WA, and DC: $52/hour to $52/hour. Starting rate of pay offered may vary depending on factors including but not limited to, position offered, location, education, training, and/or experience.

Solugenix will consider qualified applicants with a criminal history pursuant to the California Fair Chance Act and Ordinance. Applicants do not need to disclose their criminal history or participate in a background check until a conditional job offer is made to you. After making a conditional offer and running a background check, if we are concerned about conviction that is directly related to the job, applicants will be given the chance to explain the circumstances surrounding the conviction, provide mitigating evidence, or challenge the accuracy of the background report.

Our client is one of the world's leading financial services companies based out of Santa Ana, CA.

Solugenix is a leader in IT services, delivering cutting-edge technology solutions, exceptional talent, and managed services to global enterprises. With extensive expertise in highly regulated and complex industries, we are a trusted partner for integrating advanced technologies with streamlined processes. Our solutions drive growth, foster innovation, and ensure compliance—providing clients with reliability and a strong competitive edge.

Recognized as a 2024 Top Workplace, Solugenix is proud of its inclusive culture and unwavering commitment to excellence. Our recent expansion, with new offices in the Dominican Republic, Jakarta, and the Philippines, underscores our growing global presence and ability to offer world-class technology solutions. Partnering with Solugenix means more than just business—it means having a dedicated our financial client focused on your success in today's fast-evolving digital world.