ACA Group
Opportunity
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 compliance reviews and consulting work conducted by ACA Group ("ACA") for clients. You will conduct careful analyses of clients’ books and records for potential regulatory deficiencies, draft reports, prepare documents, and summarize findings for clients. This position must be based on the West Coast or work on 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
Perform other ad‑hoc work or special projects as necessary to support ACA, 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 your 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 your 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 your 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 that rewards performance and recognizes the value you bring. Our Total Rewards package includes medical and dental coverage, 401(k) plans, and a wide range of paid time off options, as well as a flexible work environment. You’ll also receive time off for ACA Paid Holidays, Summer Fridays, personal/family care, and other leaves of absence when needed. Additional benefits include 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 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.
Seniority level
Entry level
Employment type
Full‑time
Job function
Legal
Industries
Business Consulting and Services
#J-18808-Ljbffr
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
Perform other ad‑hoc work or special projects as necessary to support ACA, 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 your 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 your 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 your 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 that rewards performance and recognizes the value you bring. Our Total Rewards package includes medical and dental coverage, 401(k) plans, and a wide range of paid time off options, as well as a flexible work environment. You’ll also receive time off for ACA Paid Holidays, Summer Fridays, personal/family care, and other leaves of absence when needed. Additional benefits include 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 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.
Seniority level
Entry level
Employment type
Full‑time
Job function
Legal
Industries
Business Consulting and Services
#J-18808-Ljbffr