Compliance Analyst, Distribution

About ACA:

ACA was founded in 2002 by four former SEC regulators and one former state regulator. The founders saw a need for investment advisers to receive expert guidance on existing and new regulations. Over the years, ACA has grown both organically and by acquisition to expand our GRC business and technology solutions. Our services now include GIPS standards verification, cybersecurity and technology risk, regulatory technology, ESG advisory, AML and financial crimes, financial and regulatory reporting, and Mirabella for establishing EU operations.

Position Summary:

ACA Foreside Supervision Analysts will use independent judgement and discretion to ensure all Registered Representatives adhere to regulatory standards and ACA Foreside compliance policies. This will primarily include electronic communication reviews. Among other things, Supervision Analysts will:

 

The Compliance Analyst, Distribution may perform the following duties: 
 

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2. Review electronic communications sent and received by registered representatives of the firm in various systems. Confirm compliance with policies and procedures and document escalations.

3. Utilize third party system to review social media for compliance with FINRA & ACA Foreside policies and procedures and document escalations.

4. Liaise with internal Supervision counterparts to finalize comments to provide to the client (when applicable).

5. Work under pressure and time constraints to ensure regulatory deadlines are met. 

6. Assist with various system related tasks, such as closing out stale files, running various volume reports, and uploading supporting documents to the system. 

7. Create and format regulatory certifications to provide to Supervision counterparts.

8. Compile information related to office inspections and provide to inspectors

9. Compile information related to office inspections and provide to inspectors

10. Perform other ad-hoc work and special projects as necessary to support ACA's various client and internal initiatives. 

Required Education and Experience:
 

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2. 3-5yrs of an experience

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2. Minimum 3 years of relevant work experience, preferably in financial services 

What we commit to:

ACA is an equal opportunity employer that values diversity. We conduct our business without regard to actual or perceived age, race, color, religion, disability, caregiver, marital or partnership status, pregnancy (including childbirth, breastfeeding, or related medical conditions), ancestry, national origin and citizenship, sex, gender identity and expression, sexual orientation, sexual and reproductive health decisions, military or veteran status, creed, genetic predisposition, carrier status or any other category protected by federal, state and local law. 
 

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, recall, transfers, leaves of absence, compensation and all other terms and conditions of employment. 

Here at ACA, we have created a variety of programs to promote ACA's culture of inclusivity and work hard to ensure that all our employees have an equal opportunity to contribute to ACA and feel that ACA is exactly where they belong.

Why join our team? 

We are the leading governance, risk, and compliance (GRC) advisor in financial services. When you join ACA, you'll become part of a team whose unique combination of talent includes the industry's largest team of former regulators, compliance professionals, legal professionals, and GIPS standards verifiers in the industry, along with practitioners in cybersecurity, ESG, and regulatory technology.

Our team enjoys an entrepreneurial work environment by offering innovative and tailored solutions for our clients. We encourage creative thinking and making the most of your experience at ACA by offering multiple career paths. We foster a culture of growth by focusing on continuous learning through inquiry and curiosity, and transparency. If you're ready to be part of an award-winning, global team of thoughtful, talented, and committed professionals, you've come to the right place.