Compliance Analyst

ACA Group•Durham, NC

1d•Hybrid

About The Position

The individual in this position is responsible for administering a compliance program in conjunction with a Chief Compliance Officer, participating in compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and working with an internal team to provide compliance assistance and advice to investment advisory firms. The individual in this position is also responsible for coordinating completion of compliance services by working with multiple internal departments.

Requirements

2 years of industry experience.
Some knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940)

Nice To Haves

Bachelor’s degree.
Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.
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 team environment.
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.
Strong oral and written communication skills.
Proficient with Microsoft Office applications and comfortable working in a tech-enabled environment.
Willingness for occasional travel.

Responsibilities

Administer assigned client relationships and projects proactively, including providing guidance and delivering a superior client experience. Liaising with other internal departments as necessary, including responding to clients’ questions and needs promptly.
Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, marketing materials, and other compliance documents, answering compliance-related questions from clients, conduct compliance training sessions, as well as identifying compliance-related issues).
Assist all aspects of compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports), including reviewing the work of project team members.
Coordinating and participating in regularly scheduled compliance meetings with clients.
Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives including occasional onsite client secondment work.
Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting and testing engagements.