Compliance Analyst

Location: 
Morristown, NJ
Division/Department: 
Investment Adviser
Position Objective:
 
Compliance Analysts assist ACA consultants in providing regulatory consulting services to investment advisers and other firms in the investment industry.
 
Summary of Responsibilities:
  • Supporting consultants during on-site and off-site mock SEC 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
  • Participating in professional development activities, such as ACA’s internal training program for analysts
  • Researching novel or complex compliance issues
  • Performing email surveillance reviews
  • Performing other ad-hoc work/special projects as necessary to support ACA on various
 
Qualifications: 
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 and Benefits: 

Compensation, which will be competitive and follows an incremental schedule up to a promotion to a Consultant, will include a base salary of $50,000 and may include a discretionary bonus. ACA also offers a comprehensive benefits package.

Application: 

Interested candidates should apply on the ACA ADP Workforce Now Career Page.

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.