Investment Adviser Compliance Analyst

The Opportunity:

This position works with relationship managers, account owners, and engagement leads to provide regulatory consulting services to investment advisers and other firms in the investment industry. Analysts are expected to proceed through the Analyst Training Program to gain industry and relevant knowledge to provide consulting services.

What you’ll do:

• 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.
• Study for and pass the FINRA Securities Industry Essentials (“SIE”) Exam.
• 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.

To qualify for the role you must have:

• Bachelor’s degree

Ideally, you will also have:

• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.
• Passing score on FINRA SIE Exam or equivalent, or other measurable demonstration of industry fundamental knowledge as deemed comparable at management’s discretion.

Skills and attributes for success:

• Demonstrated professional integrity
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
• Ability to exercise discretion and make independent judgments on matters of significance
• Ability to work in a fast-paced small team environment
• Ability to establish and maintain effective working relationships with colleagues and clients
• Highly motivated and goal oriented; pro-active 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
• Strong organizational and problem-solving skills with attention to detail
• Strong oral and written communication skills
• Proficient with Microsoft Office applications and comfortable working in a tech enabled environment
• Willing to travel

What working at ACA offers:

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.

About ACA:

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

What we commit to:

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.