Code of Ethics Compliance Consultant

ACA Group; Alabama; On-site; USD 72,000 - 90,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off

Flexible work environment

Student debt forgiveness

Pet Insurance

Job summary

ACA Group is seeking a compliance professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer and oversee personal trading surveillance programs, employee certifications, disclosures, and conflicts of interest assessments, while maintaining current knowledge of applicable regulations and industry best practices.

You will build strong client relationships, manage program implementation, and mentor junior staff,

Qualifications

• Bachelors degree in a related field.
• At least three years of regulatory compliance experience, or two years with related regulatory or data roles.
• Working knowledge of federal securities laws and related rules.

Responsibilities

• Build and maintain client relationships, guiding on compliance requirements and service delivery.
• Manage implementation and oversight of personal trading surveillance programs using ComplianceAlpha and other solutions.
• Oversee compliance monitoring activities, including broker feed reviews, exception reporting, workflows, and disclosures.
• Lead client discussions on outside business activities, political contributions, gifts and entertainment, conflicts of interest and other Code of Ethics matters.
• Design and manage questionnaires, attestations and disclosures to support clients' compliance programs.
• Prepare, review and present reports, findings, trends, and recommendations to clients and internal stakeholders.
• Mentor and train analysts on regulations, policies, procedures and Code of Ethics matters.
• Support managed services projects with supervisors and project leads.

Skills

Regulatory compliance

Attention to detail

Communication

Client relationship management

Education

Bachelors degree

Tools

ComplianceAlpha

Microsoft Office

Job description

ACA Group is seeking a compliance professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer and oversee personal trading surveillance programs, employee certifications, disclosures, and conflicts of interest assessments, while maintaining current knowledge of applicable regulations and industry best practices.

You will build strong client relationships, manage program implementation, and mentor junior staff,