Consultant; MS), Code of Ethics; COE

The individual in this position works closely with and supports supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings. Responsibilities include administering and overseeing personal trading surveillance programs, employee certifications, gifts and entertainment reviews, outside business activity disclosures, political contribution monitoring, conflicts of interest assessments, and other employee compliance requirements. Consultants typically serve as subject matter experts and may have supervisory, training, and mentoring responsibilities in addition to supporting client engagements.

Consultants are expected to maintain current knowledge of applicable regulations, industry best practices, and evolving compliance requirements related to Code of Ethics programs, employee conduct, and regulatory risk management.

The individual in this position works closely with and supports supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings. Responsibilities include administering and overseeing personal trading surveillance programs, employee certifications, gifts and entertainment reviews, outside business activity disclosures, political contribution monitoring, conflicts of interest assessments, and other employee compliance requirements. Consultants typically serve as subject matter experts and may have supervisory, training, and mentoring responsibilities in addition to supporting client engagements.

Consultants are expected to maintain current knowledge of applicable regulations, industry best practices, and evolving compliance requirements related to Code of Ethics programs, employee conduct, and regulatory risk management.

• Build and maintain strong client relationships, providing guidance on employee compliance requirements, best practices, onboarding, program scope, workflow expectations, budgets, contractual obligations, and overall service delivery
• Manage the implementation, administration, and oversight of personal trading surveillance programs using Compliance Alpha and other compliance technology solutions
• Oversee compliance monitoring activities, including broker feed reviews, exception reporting, compliance workflows, and employee disclosure and certification processes
• Lead client discussions and provide guidance on outside business activities, political contributions, gifts and entertainment, conflicts of interest, and other Code of Ethics matters
• Review and analyze complex compliance issues, regulatory risks, and compliance deficiencies, and recommend appropriate corrective actions
• Conduct reviews of clients' books and records and other documentation to assess regulatory and policy compliance
• Design and manage questionnaires, attestations, disclosures, and related processes that support clients' compliance programs
• Prepare, review, and present reports, findings, trends, and recommendations to clients and internal stakeholders
• Mentor and train analysts and other team members on regulations, policies, procedures, and Code of Ethics compliance matters
• Support and lead managed services projects in collaboration with supervisors, relationship managers, account owners, and project leads
• Develop and maintain internal knowledge resources and contribute to training and professional development initiatives
• Support thought leadership, business development, and marketing initiatives, including public speaking engagements, conferences, and industry round tables
• Perform other ad‑hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to:
• Analyst training
• Public speaking…