Senior Compliance Analyst

ACA Group

13d

About The Position

The individual in this position is responsible for participating in wealth management compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing general compliance assistance and advice to clients including those that advise individual and institutional clients. The individual in this position is also responsible for the development of client relationships and identifying opportunities for new business development.

Requirements

• Bachelor’s degree.
• At least 18 months - 2 years of relevant industry experience. Alternatively, at least 1- 2 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organization comparable to ACA.
• General working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder relevant to the role (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974).

Nice To Haves

• Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.

Responsibilities

• Support more senior consulting staff during on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagements.
• Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverable.
• Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagements.
• Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables.
• Maintain internal knowledge resources, such as databases of inspection report comments.
• Research novel or complex compliance issues.
• Perform email surveillance reviews and other forensic reviews of books and records of clients.
• Participate in the Analyst Training Program via the Learning Management System’s courses/curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion of topical tests and case studies.
• Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives

Benefits

• We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business.
• Our Total Rewards package includes medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment.
• You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
• We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level