Consultant (MS), Code of Ethics (COE)

ACA Group•Durham, NC

2d•$70,000 - $85,000

About The Position

The Consultant (MS), Code of Ethics (COE) works closely with supervisors, relationship managers, account owners, and engagement leads to deliver ACA’s Code of Ethics offerings. The role administers and oversees personal trading surveillance programs, employee certifications, gifts and entertainment reviews, outside business activity disclosures, political contribution monitoring, conflicts of interest assessments, and other employee compliance requirements. Consultants typically act as subject matter experts and may also have supervisory, training, and mentoring responsibilities while supporting client engagements. They are expected to stay current on applicable regulations, industry practices, and evolving requirements related to Code of Ethics programs, employee conduct, and regulatory risk management. The position includes managing client relationships and managed services engagements; overseeing compliance technology, monitoring workflows, disclosures, and certifications; assessing complex compliance issues and regulatory risks; reviewing client records; preparing and presenting reports; mentoring team members; and contributing to internal knowledge, training, thought leadership, business development, and marketing initiatives. Ad-hoc work may include analyst training, public speaking, conference and roundtable attendance, and onsite client engagements. ACA Group is a governance, risk, and compliance advisor in financial services. It combines consulting, managed services, and its ComplianceAlpha technology platform with expertise from former regulators and practitioners and knowledge of the global regulatory landscape. The stated salary range is $70,000–$85,000 plus a discretionary bonus. ACA describes its work environment as flexible and offers medical and dental coverage, 401(k) plans, paid time off, designated holidays, Summer Fridays, personal/family care leave, other leaves of absence, student debt forgiveness, and pet insurance. ACA states that it is committed to nondiscrimination in employment.

Requirements

Bachelor’s degree.
At least three years of industry experience in a regulatory compliance role; alternatively, at least two years of experience combining work as an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority, or as a data analyst or senior data analyst at ACA or a comparable consulting organization.
General working knowledge of relevant federal securities laws and associated rules and regulatory positions, including the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, and Commodity Futures Trading Commission Act of 1974.
Demonstrated professional integrity.
Dependable, flexible, and adaptable to new initiatives and changing client needs.
Ability to exercise discretion and make independent judgments on significant matters.
Ability to work in a fast-paced, small-team environment.
Ability to establish and maintain effective working relationships with colleagues and clients.
Motivated and goal-oriented, proactive about education and career progression, and willing to take initiative on internal and external projects.
Commitment to high-quality standards and customer service.
Strong organizational and problem-solving skills with attention to detail.
Strong oral and written communication skills.
Proficiency with Microsoft Office applications and comfort working in a technology-enabled environment.

Nice To Haves

A major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics.

Responsibilities

Build and maintain client relationships, advising on employee compliance requirements, best practices, onboarding, program scope, workflows, budgets, contractual obligations, and service delivery.
Manage implementation, administration, and oversight of personal trading surveillance programs using ComplianceAlpha and other compliance technology solutions.
Oversee compliance monitoring, including broker feed reviews, exception reporting, compliance workflows, and employee disclosure and certification processes.
Lead client discussions and advise on outside business activities, political contributions, gifts and entertainment, conflicts of interest, and other Code of Ethics matters.
Review complex compliance issues, regulatory risks, and compliance deficiencies, and recommend corrective actions.
Review clients’ books, records, and other documentation to assess regulatory and policy compliance.
Design and manage questionnaires, attestations, disclosures, and related compliance processes.
Prepare, review, and present reports, findings, trends, and recommendations to clients and internal stakeholders.
Mentor and train analysts and other team members on regulations, policies, procedures, and Code of Ethics compliance.
Support and lead managed services projects with supervisors, relationship managers, account owners, and project leads.
Develop and maintain internal knowledge resources and contribute to training and professional development initiatives.
Support thought leadership, business development, and marketing, including public speaking, conferences, and industry roundtables.
Perform ad-hoc work and special projects supporting ACA client and internal initiatives, including analyst training, public speaking, conferences, roundtables, and onsite client engagements.