Compliance Analyst

Compliance Analyst / Regulatory Officer (Associate Level)

Location: 601 South Figueroa Street Los Angeles CA 90017 United States

Contract: 6 Months

Rate: $36/hr on W2

Position Summary: We are seeking a Compliance Analyst / Regulatory Officer (Associate Level) to support regulatory examinations, regulatory relations activities, and advisory services. The ideal candidate will coordinate examination activities, manage regulatory communications, ensure documentation quality, track regulatory matters, and assist with governance-related initiatives.

Key Responsibilities:

Regulatory Examination Support:

• Participate in all phases of the regulatory examination lifecycle, including:
• • Responding to regulatory entry letters and information requests.
  • Preparing examination responses, supporting documentation, and presentations.
  • Coordinating and documenting meetings with internal and external stakeholders.
  • Maintaining accurate records and reporting throughout the examination process.

Documentation & Quality Review:

• Perform due diligence reviews to ensure the completeness, accuracy, and quality of documentation prior to submission to regulators.
• Verify that all regulatory responses meet established standards and requirements.

Regulatory Coordination & Communication:

• Notify senior management and relevant stakeholders of upcoming regulatory examinations.
• Provide guidance regarding examination scope, focus areas, expectations, and timelines.
• Coordinate ongoing communication between regulators and internal business teams.

Continuous Monitoring & Meeting Management:

• Organize and facilitate routine continuous monitoring meetings involving regulators and firm personnel.
• Document meeting discussions, action items, and regulatory concerns.
• Communicate key outcomes and updates to senior management and appropriate stakeholders in a timely manner.

Regulatory Tracking & Reporting:

• Track and monitor:
• • Regulatory inquiries
  • Examinations
  • Reviews
  • Findings and remediation activities
• Prepare and distribute periodic status reports to management and stakeholders.

Regulatory Records Management:

• Maintain regulatory correspondence and documentation, including:
• • Regulatory communications
  • Transmittal letters
  • Management responses
  • Corrective action and remediation plans

Issue Identification & Escalation:

• Identify and escalate potential compliance or regulatory issues observed during examinations, reviews, or routine business activities.
• Work with stakeholders to ensure timely resolution and remediation.

Team Collaboration:

• Collaborate closely with Regulatory Relations team members.
• Support additional Regulatory Relations functions and special projects as required.

Governance Support:

• Assist with West Coast Governance Committee meetings, including:
• • Scheduling and coordination
  • Agenda preparation
  • Documentation and meeting minutes
  • Follow-up on action items

Preferred Skills & Qualifications:

• Experience in Compliance, Regulatory Affairs, Risk Management, Audit, or Financial Services.
• Strong understanding of regulatory examination processes and regulatory relations.
• Excellent written and verbal communication skills.
• Strong documentation, reporting, and recordkeeping abilities.
• Ability to manage multiple priorities and deadlines.
• Strong attention to detail and organizational skills.
• Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
• Experience working with senior leadership, regulators, and cross-functional teams.