Consultant

ACA Group • Durham, NC

1d

About The Position

The individual in this position is responsible for participating in wealth management compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing general compliance assistance and advice to clients including those that advise individual and institutional clients. The individual in this position is also responsible for the development of client relationships and identifying opportunities for new business development. 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.

Requirements

• Bachelor’s degree
• At least 4 years of industry experience. 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 compliance analyst or consultant 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
• 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 individual and small 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.
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions.
• Willingness to travel, as needed

Nice To Haves

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

Responsibilities

• Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., reviewing documents, conducting interviews, and drafting reports)
• Perform a broad scope of work during reviews of clients of basic complexity, and to coordinate and consolidate the work of colleagues during these reviews
• Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, and answering compliance-related questions from clients)
• Support or manage assigned client relationships, including addressing questions and needs
• Supervise, train, evaluate, oversee, and/or provide feedback to junior staff, as assigned
• Provide support for ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct research on compliance issues, draft or assist with internal or client training and/or presentations)
• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives

Benefits

• competitive compensation package
• medical and dental coverage
• 401(k) plans
• wide range of paid time off options
• flexible work environment
• time off for designated ACA Paid Holidays
• Summer Fridays
• Personal/Family Care
• other leaves of absence when needed to support your physical, financial, and emotional well-being
• Student Debt Forgiveness
• Pet Insurance

What This Job Offers

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