Senior Compliance Analyst; MS), Anti- Laundering; AML

Senior Compliance Analyst (MS), Anti-Money Laundering (AML)

Location:

Portland, ME

Salary: $65,000.00 - $85,000.00

Seniority Level: Mid-Senior Level

Employment Type:

Full-time

Job Function:
Legal

Industries:
Business Consulting and Services

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.

• Assist with ACA service offerings including regulatory filings, expert network chaperoning, anti-money laundering support, electronic communication review, code of ethics and personal trading reviews, and 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 analyst training, public speaking engagements, attending conferences and roundtable events, and onsite client engagements.

• Bachelor’s degree.
• At least 1 year of KYC investor onboarding experience.
• 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).

• 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, small team environment.
• Ability to establish and maintain effective working relationships with colleagues and clients.
• Highly motivated and goal oriented; pro‑active 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.

• 1 year of financial services experience or relevant regulatory compliance experience.
• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.

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,…