Senior Compliance Analyst, AML

The Opportunity:

The individual in this position supports supervisors, relationship managers, account owners, and engagement leads with certain ACA managed services offerings including, but not limited to: electronic communications reviews, regulatory filings, marketing reviews, and anti-money laundering reviews. Senior Compliance Analysts are expected to learn the regulations, best practices, and nuances associated with the products and services they support. They are strongly encouraged to utilize additional training and development resources available through the Analyst Development Program and the Learning Management System to continue their development. Senior Compliance Analysts may have subject matter expertise responsibilities in addition to their support on managed services engagements

 

What you’ll do:

• Assist with ACA service offerings including, but not limited to:
  • Regulatory filings
  • Expert network chaperoning
  • Anti-money laundering support
  • Electronic communication review
  • Code of ethics and personal trading reviews
  • Marketing review
• Analyze clients’ books and records for potential regulatory issues
• Interpret complicated and nuanced documents to identify potential regulatory risks
• Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to understand project scope and applicable regulatory risks
• Draft reports for clients summarizing ACA’s review and any findings from such reviews
• Assist with oversight of certain managed services client engagements to ensure contractual obligations are met
• Participate in training and career development via assigned courses/curriculums, supervisor instruction, and other training opportunities
• Maintain internal knowledge resources
• Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to: 1. Analyst training 2. Public speaking engagements 3. Attend conferences and roundtable events 4. Onsite client engagements

 

To qualify for the role you must have:

• Bachelor’s degree
• At least 1 year 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). 

 

Skills and attributes for success:

• • • Demonstrated professional integrity