Compliance Analyst, Filings

The Opportunity:

In the role of the Compliance Analyst on our Managed Services team, you will be responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA Group (“ACA”) for clients. The individual in this position will conduct careful analyses of clients’ books and records for potential regulatory deficiencies, as well as draft reports, prepare documents, and summarize findings for clients. This position may be based at any of our office locations, however, will be required to work Pacific Standard Time (PST) hours.

 

What you’ll do:

• Assisting in the execution of assigned registrations
• Assisting in the preparation and completion of questionnaires and filings that support the development of key deliverables (e.g., Form ADV Disclosure Brochures and Brochure Supplements, etc.)
• Providing administrative support services to compliance consultants and clients
• Processing IARD/CRD regulatory filings
• Assisting in the preparation of regulatory documents such as Form ADV, Form U4/U5, and additional application materials/documentation
• Researching SEC and/or state rules and regulations and communicating guidance to clients
• Corresponding with securities regulators to research regulatory requirements
• Preparing response letters to state and federal examiners on behalf of clients
• Maintaining firm records (calendars, project workflows and status updates), time tracking and time reporting
• Assisting clients with compliance questions and other needs
• Assisting in enhancing internal workflow and processes
• Planning and organizing priorities while maintaining highest level of service to clients
• Multitasking and managing multiple projects within deadlines
• Conducts self in a professional manner
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
• Other tasks and duties as assigned

 

To qualify for the role you must have:

• 2 years of relevant experience in financial compliance or other regulatory services
• Experience with IARD/CRD systems preferred
• Associate’s degree or higher in a related field preferred
• Strong written communication and oral communication skills
• Strong relationship management skills
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
• Customer-focused attitude
• Time management and organization skills with a strong attention to detail
• Ability to work both independently and as part of a team
• Some knowledge of the investment management industry and related securities laws, especially the Investment Advisers Act of 1940, preferred

 

Skills and attributes for success:

• Ability to exercise discretion and make independent judgments on matters of significance
• Demonstrated professional integrity
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
• Ability to work well in a fast-paced, small-team environment
• Ability to work independently, multi-task and prioritize effectively
• 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

 

Ideally, you’ll also have:

• Background in law, banking, or writing a plus
• 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

 

What working at ACA offers:

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical and dental coverage a