ACA Group
Compliance Analyst (MS) – ACA Group
As a Compliance Analyst on our Managed Services team, you will participate in and ensure the successful execution of compliance reviews and consulting work conducted by ACA Group (“ACA”) for clients. You will analyze clients’ books and records for potential regulatory deficiencies, draft reports, prepare documents, and summarize findings. This position requires being based on the West Coast or working Pacific Standard Time hours.
What you’ll do
Assist with ACA service offerings, including but not limited to:
Regulatory filings
Expert network chaperoning
Anti‑money laundering
Electronic communication review
Social media 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 analyst training, public speaking engagements, attending 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
To qualify for the role you must have
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
Skills and attributes for success
Ability to exercise discretion and make independent judgments on matters of significance
Demonstrated professional integrity
Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
Ability to work well in a fast‑paced, small‑team environment
Ability to work independently, multi‑task and prioritize effectively
Ability to establish and maintain effective working relationships with colleagues and clients
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
Strong organizational and problem‑solving skills with attention to detail
Ideally, you’ll also have
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 oral and written communication skills
Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients
What working at ACA offers We offer a competitive compensation package rewarded based on performance and recognized for the value you bring. Our Total Rewards package includes medical and dental coverage and 401(k) plans, a wide range of paid time off options, flexible work environment, ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence. We also provide 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 a 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.
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What you’ll do
Assist with ACA service offerings, including but not limited to:
Regulatory filings
Expert network chaperoning
Anti‑money laundering
Electronic communication review
Social media 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 analyst training, public speaking engagements, attending 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
To qualify for the role you must have
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
Skills and attributes for success
Ability to exercise discretion and make independent judgments on matters of significance
Demonstrated professional integrity
Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
Ability to work well in a fast‑paced, small‑team environment
Ability to work independently, multi‑task and prioritize effectively
Ability to establish and maintain effective working relationships with colleagues and clients
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
Strong organizational and problem‑solving skills with attention to detail
Ideally, you’ll also have
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 oral and written communication skills
Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients
What working at ACA offers We offer a competitive compensation package rewarded based on performance and recognized for the value you bring. Our Total Rewards package includes medical and dental coverage and 401(k) plans, a wide range of paid time off options, flexible work environment, ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence. We also provide 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 a 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.
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