Compliance Analysts assist ACA consultants in providing regulatory consulting services to broker-dealers and other firms in the investment industry.
Summary of Responsibilities:
• Supporting consultants during on-site and off-site mock SEC/FINRA examinations, compliance program reviews, and other consulting engagements
• Preparing preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables
• Maintaining internal knowledge resources, such as databases of inspection report comments
• Assisting consultants and preparing documentation to be filed for New Member Applications (“NMAs”) and Continuing Member Applications (“CMAs”) with FINRA
• Assisting clients in creating and submitting appropriate state, SEC and FINRA regulatory filings
• Researching novel or complex compliance issues
• Performing email surveillance reviews
• Participating in professional development activities
• Performing other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives
Summary of Minimum Qualifications and Knowledge Requirements:
• Demonstrates professional integrity
• Dependable, flexible and adaptable to changing client needs and ACA initiatives
• Ability to work well in a fast paced, small team environment
• Must be able to work independently, multi-task and prioritize effectively
• Strong organizational and problem-solving skills with attention to detail
• 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
• Ability to establish and maintain effective working relationships with employees and clients
• Strong oral and written communication skills
• Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients
• Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet
• Bachelor’s Degree required – concentration or previous work experience in business, accounting, finance, criminal justice, law, or economics required
• Willingness to travel outside of the office – 50 percent
Compensation, which will be competitive and follows an incremental schedule up to a promotion to a Consultant, will include a base salary and may include a discretionary bonus. ACA also offers a comprehensive benefits package.
Interested candidates should direct their resume to:
ACA is an equal opportunity employer and does not unlawfully discriminate against current or prospective employees on the basis of race, color, religion, sex, age, national origin, pregnancy, familial status, marital status, sexual orientation, gender identity, disability, veteran status, citizenship, ancestry, genetic information, or any other characteristics prohibited by law.
If you would like to apply for a position listed on our website, please click here to submit your resume.
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