Compliance Analyst, OMR (Outsourced Marketing Review)

About the position

In the role of the Compliance Analyst on our Managed Services team, you will be responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA Group (“ACA”) for clients. The individual in this position will conduct careful analyses of clients’ books and records for potential regulatory deficiencies, as well as draft reports, prepare documents, and summarize findings for clients. This position may be based at any of our office locations, however, will be required to work Pacific Standard Time (PST) hours.

Responsibilities

• Assist with ACA service offerings, including but not limited to: Regulatory filings, expert network chaperoning, anti-money laundering, electronic communication review, social media review, and marketing review
• Analyze clients’ books and records for potential regulatory issues
• Interpret complicated and nuanced documents that may pose regulatory risks
• Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to resolve any issues
• Draft reports for clients summarizing ACA’s review and any findings from such reviews
• Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives, including but not limited to: Analyst training, public speaking engagements, attend conferences and roundtable events, and onsite client engagements
• Review the adequacy of the policies and procedures of Registered Investment Advisers in all their 'critical areas' and test their effectiveness.

Requirements

• Bachelor’s degree
• Proficiency with Microsoft Office applications, Adobe Acrobat, and the Internet
• Strong oral and written communication skills
• Strong data analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients
• Proactive in own financial services compliance education and career development
• Solid understanding of financial markets, financial products, investment advisors, and regulations
• Ability to learn concepts and subject matter quickly and apply knowledge to client reviews

Nice-to-haves

• Background in law, banking, or writing a plus
• Highly motivated and goal oriented
• Proactive in one’s own education and career progression
• Volunteers for and shows initiative on both internal and external projects and tasks
• Dedicated to upholding ACA’s high-quality standards and customer service focus
• Ability to establish and maintain effective working relationships with employees and clients
• Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients

Benefits

• Competitive compensation package
• Medical and dental coverage
• 401(k) plans
• Wide range of paid time off options
• Flexible work environment
• Time off for designated ACA Paid Holidays
• Summer Fridays
• Personal/Family Care
• Leaves of absence for physical, financial, and emotional well-being
• Student Debt Forgiveness
• Pet Insurance