What are the responsibilities and job description for the Senior Compliance Analyst position at Ryan, Miller & Associates Executive Search?
Senior Compliance Analyst
Orange County, CA (On-site)
Our client is building out a Senior Compliance Analyst seat to strengthen internal audit and oversight as its compliance program matures — a real, newly invested function, not a check-the-box role. Reporting to the Head of Compliance, you'll independently run risk-based audits across underwriting, operations, third-party relationships, and internal controls, while helping build processes that scale with the company's growth.
What You'll Do
- Execute compliance monitoring on a weekly, monthly, and quarterly cadence
- Run risk-based audits across compliance, operations, underwriting, and risk functions
- Review client onboarding files, including identity verification, ownership disclosure, and enhanced due diligence
- Support regulatory exams and bank-partner reviews, including evidence gathering and documentation
- Own audit issue tracking and validate that corrective actions are actually resolved
- Perform compliance testing and report findings to leadership, including quarterly Board reporting
What You Bring
- Bachelor's degree in Accounting, Finance, Business, Risk Management, Compliance, or related field
- 4 years in compliance, internal audit, risk, banking, fintech, or payments
- Real experience performing audits, monitoring, or regulatory exams — not just supporting them
- Strong analytical, documentation, and communication skills
- Comfortable owning audit work independently, start to finish
Apply for more details!