Compliance Analyst; MS

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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 will need to be based on the West Coast or work on Pacific Standard Time hours.

• Assist with ACA service offerings, including but not limited to:
  • Regulatory filings
  • Expert network chaperoning
  • Anti-money laundering
  • Electronic communication review
  • Social media and marketing review
• Analyze clients’ books and records for potential regulatory issues
• Interpret complicated and nuanced documents that may pose 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 resolve any issues
• Draft reports for clients summarizing ACA’s review and any findings from such reviews
• Perform other ad‑hoc work/special projects as necessary to support ACA on various client and internal initiatives, including but not limited to:
  Analyst training, public speaking engagements, attend conferences and roundtable events, and onsite client engagements
• Review the adequacy of the policies and procedures of Registered Investment Advisers in all their “critical areas” and test their effectiveness

• Bachelor’s degree
• Proficiency with Microsoft Office applications, Adobe Acrobat, and the Internet
• Strong oral and written communication skills
• Strong data analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients
• Proactive in own financial services compliance education and career development
• Solid understanding of financial markets, financial products, investment advisors, and regulations
• Ability to learn concepts and subject matter quickly and apply knowledge to client reviews

• 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

• Background in law, banking, or writing
• 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

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 needed to support your physical, financial, and…