Consultant (MS), Regulatory Filings

ACA Group • West Mifflin, PA

5d

About The Position

The individual in this position works with and supports supervisors, relationship managers, account owners, and engagement leads for certain ACA managed services offerings including, but not limited to: electronic communications reviews, regulatory filings, marketing reviews, and anti-money laundering reviews. Consultants typically have supervisory, training, and/or subject matter expertise responsibilities in addition to their expertise and support on managed services engagements. Consultants are expected to maintain up-to-date knowledge regarding the regulations, best practices, and nuances associated with the products and services they engage in.

Requirements

• Bachelor’s degree
• At least three years of industry experience serving in a regulatory compliance role. Alternatively, at least 2 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA or another regulatory authority or (ii) a data analyst or senior data analyst with ACA or a consulting organization comparable to ACA
• General working 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, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974).

Nice To Haves

• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.

Responsibilities

• Support and/or lead managed services projects with other supervisors, relationship managers, account owners, and project leads
• Conduct reviews of clients’ books and records and other documents
• Train new staff on regulations, policies, and procedures in one-on-one and small group settings
• Oversee client relationships, including onboarding new clients, setting scope and workflow expectations, communicating findings, tracking budgets, reviewing invoices, answering questions, and ensuring client expectations and contractual obligations are met
• Analyze potential regulatory matters and assist in interpreting complicated and nuanced compliance deficiencies
• Draft and finalize reports summarizing ACA’s work and findings and review drafts prepared by analysts
• Participate in training and career development via assigned courses/curriculums, supervisor instruction, and other training opportunities
• Develop and maintain internal knowledge resources
• Manage and support thought leadership and other initiatives to promote ACA’s sales and marketing efforts
• Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to: Analyst training Public speaking engagements Attend conferences and roundtable events Onsite client engagements

Benefits

• 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 and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment.
• You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
• We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level