Compliance Analyst

Job Description 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. The Opportunity: In the role of Testing Analyst, 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 primarily conduct testing of the efficacy of clients regulatory compliance programs implemented pursuant to the Investment Advisers Act of 1940, along with other federal securities laws. This will include careful analyses of clients books and records for potential regulatory deficiencies, as well as communicating findings and recommendations. What you'll do: Support consultants with compliance program testing, primarily by: - Assisting with the execution of clients compliance program testing - Utilizing ACA's suite of RegTech products throughout the testing process - Reviewing clients regulatory compliance policies and procedures - Researching novel and/or complex compliance issues - Maintaining internal knowledge resources Assist with other ACA service offerings, as needed, including, but not limited to: - Regulatory filings - Expert network call chaperoning - Anti-money laundering & KYC/CIP testing - Electronic communications surveillance reviews - Online presence (social media) reviews - Marketing material reviews Ideally, you will have: - Bachelor's Degree - Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred. Skills and attributes for success: - 3-5yrs of an experience - 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 consulting staff. - Ability to work independently, multi-task, and prioritize effectively, including managing multiple projects with competing deadlines. - 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. - Strong oral and written communication skills. - Proficient with Microsoft Office applications and comfortable working in a tech-enabled environment. - Ability to become familiar with the Investment Advisers Act of 1940, along with other federal securities laws, rules, and regulatory guidance. - Ability to become familiar with, and proficient in utilizing, ACA's suite of internal and client-facing RegTech products. - Strong analytical skills, including the ability to interpret complicated and nuanced documents, along with applicable laws, rules, and regulatory guidance. 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 coverage fully funded by ACA for employees and their families, as well as access to Maternity & Fertility and Wellness programs. ACA also provides Personal Accident Insurance, Group Term Life Insurance, Employee Discount programs, and Employee Resource Groups. You'll be granted time off for designated ACA Paid Holidays, Privilege Leave, Casual/Sick Leave, and other leaves of absence to support your physical, financial, and emotional well-being. 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 status.