Compliance Analyst
Current
Oct 2022 - Present
AeroLeads people directory · profile
Monica Mora Email & Phone Number
Investment Compliance Analyst
at
The TCW Group
1 work email found
@aresmgmt.com
LinkedIn matched
✓ Verified May 2026
4 data sources
Profile completeness 86%
Current company
Role
Investment Compliance Analyst
Location
Los Angeles Metropolitan Area, United States, United States
Company size
Who is Monica Mora? Overview
A concise factual answer block for searchers comparing this professional profile.
Quick answer
Monica Mora is listed as Investment Compliance Analyst at The TCW Group, a company with 533 employees, based in Los Angeles Metropolitan Area, United States, United States. AeroLeads shows a work email signal at aresmgmt.com and a matched LinkedIn profile for Monica Mora.
Monica Mora previously worked as Compliance Analyst at The Tcw Group and Compliance Associate at Ares Management Corporation. Monica Mora studied at California State University-Long Beach.
Company email context
Email format at The TCW Group
This section adds company-level context without repeating Monica Mora's masked contact details.
{first_initial}{last}@aresmgmt.com
86% confidence
AeroLeads found 1 current-domain work email signal for Monica Mora. Compare company email patterns before reaching out.
Profile bio
About Monica Mora
A FINRA Registered Principal with over 8 years of experience in the financial industry. Knowledge and experience supervising trading activities to confirm their sufficiency and compliance with regulatory rules and SROs. Knowledge, understanding, and experience with FINRA regulations. Extremely dynamic and organize with the ability to handle numerous projects concurrently. Analytical and results-driven banking and risk management professional with a track record of successfully executing key initiatives within compliance. Experienced and passionate in building and redesigning functions from the "ground up" including the development of departments with leadership routines, and systems to support business operations.
Current workplace
Monica Mora's current company
Company context helps verify the profile and gives searchers a useful next step.
The Tcw Group
4 roles
Monica Mora work experience
A career timeline built from the work history available for this profile.
Compliance Associate
Apr 2020 - Oct 2022
Surveillance Analyst
Posses and employ knowledge of current regulatory environment while staying informed of global regulatory and market structure changes that may affect the scope of existing surveillance program Review and prescribes appropriate action to non-compliant electronic communications identified in the electronic communications (email, websites, and social media).
Feb 2017 - Apr 2020
Relationship Banker
Active part in the review, monitoring, testing and verification of our firm policies and procedures.Evaluate account activity and prepare due diligence reports regarding anti-money laundering regulationsComprehensively explain product benefits, changes, restrictions, requirements any other relevant product information to customers and employees. Processed.
Mar 2009 - Feb 2017
Team & coworkers
Colleagues at The TCW Group
Other employees you can reach at tcw.com. View company contacts for 533 employees →
CB
Craig Blum
Colleague at The Tcw Group
Los Angeles, California, United States, United States
View →
MS
Manju Sonarmanju4
Colleague at The Tcw Group
Thane, Maharashtra, India, India
View →
AC
Alena Cervantes
Colleague at The Tcw Group
San Clemente, California, United States, United States
View →
NP
Nikhil Paritala
Colleague at The Tcw Group
Naperville, Illinois, United States, United States
View →
MC
Mark Christensen
Colleague at The Tcw Group
Los Angeles, California, United States, United States
View →
DE
Dena Elamrousi
Colleague at The Tcw Group
New York, New York, United States, United States
View →
BB
Bob Baxter
Colleague at The Tcw Group
Los Angeles, California, United States, United States
View →
JL
John L. Phillips, Cima®
Colleague at The Tcw Group
Overland Park, Kansas, United States, United States
View →
SR
Stacey Riccardo
Colleague at The Tcw Group
New York, New York, United States, United States
View →
JP
Jaewu Park
Colleague at The Tcw Group
South Korea, Korea, Republic Of
View →
Craig Blum
Colleague at The Tcw Group
Los Angeles, California, United States, United States
View →
MS
Manju Sonarmanju4
Colleague at The Tcw Group
Thane, Maharashtra, India, India
View →
AC
Alena Cervantes
Colleague at The Tcw Group
San Clemente, California, United States, United States
View →
NP
Nikhil Paritala
Colleague at The Tcw Group
Naperville, Illinois, United States, United States
View →
MC
Mark Christensen
Colleague at The Tcw Group
Los Angeles, California, United States, United States
View →
DE
Dena Elamrousi
Colleague at The Tcw Group
New York, New York, United States, United States
View →
BB
Bob Baxter
Colleague at The Tcw Group
Los Angeles, California, United States, United States
View →
JL
John L. Phillips, Cima®
Colleague at The Tcw Group
Overland Park, Kansas, United States, United States
View →
SR
Stacey Riccardo
Colleague at The Tcw Group
New York, New York, United States, United States
View →
JP
Jaewu Park
Colleague at The Tcw Group
South Korea, Korea, Republic Of
View →
1 education record
Monica Mora education
FAQ
Frequently asked questions about Monica Mora
Quick answers generated from the profile data available on this page.
What company does Monica Mora work for?
Monica Mora works for The TCW Group.
What is Monica Mora's role at The TCW Group?
Monica Mora is listed as Investment Compliance Analyst at The TCW Group.
What is Monica Mora's email address?
AeroLeads has found 1 work email signal at @aresmgmt.com for Monica Mora at The TCW Group.
Where is Monica Mora based?
Monica Mora is based in Los Angeles Metropolitan Area, United States, United States while working with The TCW Group.
What companies has Monica Mora worked for?
Monica Mora has worked for The Tcw Group, Ares Management Corporation, Farmers Insurance, and Jpmorgan Chase & Co..
Who are Monica Mora's colleagues at The TCW Group?
Monica Mora's colleagues at The TCW Group include Craig Blum, Manju Sonarmanju4, Alena Cervantes, Nikhil Paritala, and Mark Christensen.
How can I contact Monica Mora?
You can use AeroLeads to view verified contact signals for Monica Mora at The TCW Group, including work email, phone, and LinkedIn data when available.
What schools did Monica Mora attend?
Monica Mora studied at California State University-Long Beach.
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