Compliance Analyst

ACA Group•New York, NY

33d•$67,000 - $70,000•Hybrid

About The Position

This position works with relationship managers, account owners, and engagement leads to provide regulatory consulting services to investment advisers and other firms in the investment industry. Analysts are expected to proceed through the Analyst Training Program to gain industry and relevant knowledge to provide consulting services.

Requirements

Bachelor’s degree
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; pro-active 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
Willing to travel

Nice To Haves

Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.
Passing score on FINRA SIE Exam or equivalent, or other measurable demonstration of industry fundamental knowledge as deemed comparable at management’s discretion.

Responsibilities

Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting and testing engagements.
Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables.
Maintain internal knowledge resources, such as databases of inspection report comments. Research novel or complex compliance issues.
Perform email surveillance reviews and other forensic reviews of books and records of clients.
Study for and pass the FINRA Securities Industry Essentials (“SIE”) Exam.
Participate in the Analyst Training Program via the Learning Management System’s courses/curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion of topical tests and case studies.
Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives including onsite client secondment work.