Sr. Compliance Analyst, Wealth Management

The Opportunity: 

The individual in this position is responsible for participating in wealth management compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing general compliance assistance and advice to clients including those that advise individual and institutional clients. The individual in this position is also responsible for the development of client relationships and identifying opportunities for new business development. 

 

What you’ll do: 

• Support more senior consulting staff during on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagements.
• Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverable.
• Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagements.
• Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables.
• Maintain internal knowledge resources, such as databases of inspection report comments.
• Research novel or complex compliance issues.
• Perform email surveillance reviews and other forensic reviews of books and records of clients. Participate in the Analyst Training Program via the Learning Management System’s courses/curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion of topical tests and case studies.
• Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives 

 

 

To qualify for the role, you must have: 

• Bachelor’s degree. 
• At least 18 months - 2 years of relevant industry experience. Alternatively, at least 1- 2 years 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 relevant to the role (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). 

 

Ideally, you’ll also have: 

• Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred. 

Skills and attributes for success: 

• Demonstrated professional integrity. 
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs. 
• Ability to exercise discretion and make independent judgments on matters of significance. 
• Ability to work in a fast-paced individual and small team environment. 
• 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. 
• Strong oral and written communication skills. 
• Proficient with Microsoft Office applications and comfortable working in a tech-enabled environment.  Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions. 
• Willingness to travel, as needed

 

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 and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when