Regulatory Compliance Specialist
3 days ago
The TCW Group is seeking a highly skilled Regulatory Compliance Officer to join our team. As a key member of our compliance department, you will be responsible for ensuring that our firm's activities are in compliance with relevant regulatory requirements.
Key Responsibilities:- Review and analyze marketing communications and presentations to ensure compliance with regulatory rules and guidelines.
- Supervise the activities of the broker-dealer, including conducting trainings for sales staff and assisting with branch office inspections.
- Develop and implement policies and procedures to ensure compliance with changing regulatory requirements.
- Prepare and conduct trainings for sales teams and other employee populations as appropriate.
- Attend industry conferences and webinars relevant to this position and general compliance topics.
- Bachelor's Degree and 6+ years of relevant compliance-related work experience.
- Solid understanding of the securities industry and regulatory requirements related to registered investment companies and the Investment Company Act of 1940.
- Prior compliance experience with registered investment advisers, registered investment companies, and/or broker-dealers.
- Possess current Series 7 and Series 24 Licenses.
- Previous experience as a paralegal or attorney.
- Additional FINRA licenses.
- Subject matter expertise in specific compliance matters.
- Base Salary: $115K-$150K (CA based position).
- Eligible for an annual discretionary bonus.
- Comprehensive benefits package.
-
Regulatory Compliance Specialist
2 weeks ago
Los Angeles, California, United States Kitsch LLC Full timeJob Title: Regulatory Compliance SpecialistKitsch LLC is seeking a highly skilled Regulatory Compliance Specialist to join our Quality team. As a key member of our team, you will be responsible for ensuring that our products comply with regulatory requirements in all sales markets.Key Responsibilities:Conduct product evaluation and specify regulatory...
-
Regulatory Compliance Specialist
4 weeks ago
Los Angeles, California, United States Kitsch LLC Full timeJob Title: Regulatory Compliance SpecialistWe are seeking a highly skilled Regulatory Compliance Specialist to join our Quality team at Kitsch LLC. As a key member of our team, you will be responsible for ensuring our products comply with regulatory requirements in all sales markets.Key Responsibilities:Conduct product evaluation and specify regulatory...
-
Regulatory Compliance Specialist II
1 month ago
Los Angeles, California, United States L.A. Care Health Plan Full timeJob SummaryThe Regulatory Compliance Specialist II is responsible for ensuring the Customer Solution Center's readiness for regulatory audits. This position will develop a comprehensive auditing strategy for end-to-end processes, including enrollment processing, member interactions, and service authorization requests. The Specialist will also be responsible...
-
Regulatory Compliance Specialist
4 weeks ago
Los Angeles, California, United States Gable Search Group Full timeJob Title: Regulatory Compliance ManagerJoin a major global company in the Atlanta, GA metropolitan area as a Regulatory Compliance Manager. This role is responsible for ensuring compliance with chemical control and other product-related regulations, as well as providing legislative advocacy within the Americas region.Key Responsibilities:Monitor development...
-
Assistant General Counsel
21 hours ago
Los Angeles, California, United States ACC - Association of Corporate Counsel Full timeRegulatory Compliance SpecialistChildren's Hospital Los Angeles (CHLA) is seeking a highly skilled Regulatory Compliance Specialist to join its Office of the General Counsel. The ideal candidate will have a strong understanding of healthcare regulatory landscapes and experience providing clear, practical guidance in structuring transactions, policies, and...
-
Regulatory Compliance Specialist
3 weeks ago
Los Angeles, California, United States Thrive Causemetics Full timeJob Title: Manager, RegulatoryThrive Causemetics is seeking a highly skilled Manager, Regulatory to join our team. As a key member of our regulatory team, you will be responsible for ensuring that all Thrive Causemetics products comply with local, national, and international regulatory standards.Key Responsibilities:Regulatory Compliance: Ensure all products...
-
Regulatory Compliance Specialist
7 days ago
Los Angeles, California, United States calm Full timeAbout CalmCalm is a leading mental health and wellness company dedicated to supporting individuals and organizations in their mental health journeys. Our mission is to make the world a healthier and happier place.We offer a range of products and services, including our flagship consumer app, which provides personalized content and activities to help users...
-
Regulatory Compliance Specialist
3 weeks ago
Los Angeles, California, United States calm Full timeAbout CalmCalm is a leading mental health and wellness company dedicated to providing innovative solutions for individuals and organizations. Our mission is to support everyone on their mental health journey, and we're committed to creating a healthier and happier world.What We DoWe're expanding access to mental health resources by developing products and...
-
Regulatory Compliance Specialist
4 weeks ago
Los Angeles, California, United States Lionheart Ventures Company Defunct Full timeAbout the RoleCalm is seeking a highly skilled Regulatory Compliance Counsel to join our team. As a key member of our legal team, you will play a critical role in ensuring our products and services comply with domestic and international laws and regulations.Key ResponsibilitiesHelp surface, scope, and drive legal work streams and create processes related to...
-
Regulatory Compliance Specialist
3 weeks ago
Los Angeles, California, United States Concept Laboratories Full timeRegulatory Affairs AssistantConcept Laboratories, a leading contract manufacturer of personal care and cosmetic products, is seeking a highly skilled Regulatory Affairs Assistant to join our team. As a key member of our regulatory and product development teams, you will play a crucial role in ensuring that all products meet the necessary regulatory...
-
Regulatory Compliance Specialist
2 weeks ago
Los Angeles, California, United States Lionheart Ventures Company Defunct Full timeAbout the RoleCalm is committed to expanding access to mental health resources by building products for consumers, enterprises, and the healthcare industry that drive positive health and business outcomes.Our suite of solutions includes HIPAA-compliant resources, clinical programs, data and analytics tools, leadership and development workshops, and more.As a...
-
Regulatory Compliance Specialist
2 weeks ago
Los Angeles, California, United States Insight Global Full timeJob Title: Regulatory CoordinatorJob Summary:We are seeking a highly organized and detail-oriented Regulatory Coordinator to support our clinical trials division in Westwood, CA. The successful candidate will provide administrative support to our Principal Investigators and Clinical Research Supervisor, ensuring compliance with regulatory requirements and...
-
Regulatory Compliance Specialist
4 weeks ago
Los Angeles, California, United States calm Full timeAbout CalmCalm is a leading mental health and wellness company dedicated to providing innovative solutions for individuals and organizations. Our mission is to support everyone on their mental health journey, and we're committed to making a positive impact on the world.Job SummaryWe're seeking an exceptional Regulatory Compliance Counsel to join our team. As...
-
Regulatory Compliance Manager
7 days ago
Los Angeles, California, United States RSM US LLP Full timeJob SummaryWe are seeking a highly skilled Regulatory Compliance Manager to join our Risk Advisory Services practice at RSM US LLP. As a key member of our team, you will be responsible for leading and delivering regulatory compliance internal audits, assessments, and other services at client locations within financial institutions.Key ResponsibilitiesDevelop...
-
Regulatory Affairs Specialist
3 weeks ago
Los Angeles, California, United States BioPhase Solutions Full timeJob Title: Regulatory Affairs SpecialistBioPhase Solutions is seeking a highly skilled Regulatory Affairs Specialist to join our team. As a Regulatory Affairs Specialist, you will be responsible for ensuring compliance with regulatory requirements for medical devices.Key Responsibilities:Coordinate and prepare document packages and dossiers for regulatory...
-
Compliance Regulatory Attorney
3 days ago
Los Angeles, California, United States Block Full timeJob Title: Compliance Regulatory CounselBlock is seeking an experienced attorney to join our legal team as a Compliance Regulatory Counsel. This role requires a high degree of trust as you will advise the Chief Compliance Officer, Block-wide compliance team, and be an important partner to our individual product legal and regulatory teams.Key...
-
Compliance Regulatory Counsel
24 hours ago
Los Angeles, California, United States Block Full timeJob DescriptionWe are seeking an experienced attorney to join our legal team as a Compliance Regulatory Counsel. This role will provide company-wide advice related to global anti-money laundering obligations, sanctions, export controls, and anti-corruption issues.The ideal candidate will have a strong background in anti-money laundering and sanctions laws,...
-
Compliance Regulatory Counsel
3 days ago
Los Angeles, California, United States Block Full timeJob Title: Compliance Regulatory CounselWe are seeking an experienced Compliance Regulatory Counsel to join our legal team at Block. As a key member of our compliance team, you will provide critical advice on global anti-money laundering obligations, sanctions, export controls, and anti-corruption issues.Key Responsibilities:Provide legal advice on...
-
Regulatory Compliance Counsel
2 weeks ago
Los Angeles, California, United States calm Full timeAbout CalmCalm is a leading mental health and wellness company dedicated to providing innovative solutions for individuals and organizations. Our mission is to support everyone on their mental health journey, and we're committed to making the world a healthier and happier place.Job SummaryWe're seeking an exceptional Regulatory Compliance Counsel to join our...
-
Healthcare Regulatory Specialist
1 day ago
Los Angeles, California, United States Top Tier Reps LLC Full timeJob OverviewTop Tier Reps LLC is seeking a highly motivated and detail-oriented professional to join their team as a Healthcare Regulatory Specialist. This role will involve working on complex Medicaid-related projects, collaborating with cross-functional teams, and providing strategic counsel on regulatory and compliance matters.Key ResponsibilitiesDevelop...