Code of Ethics Compliance Consultant

ACA Group; Evanston (WY); Presencial; USD 70.000 - 85.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical and dental coverage

401(k) plans

Paid time off and flexible work

Descripción de la vacante

ACA Group is seeking a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics programs. You will oversee personal trading surveillance, employee certifications, disclosures, and risk management across client engagements.

You’ll mentor analysts, participate in training, and contribute to thought leadership, business development, and marketing while maintaining current regulatory knowledge and best practices.

Formación

• Bachelor’s degree required.
• At least three years in regulatory compliance; or at least 2 years with SEC/NFA/CFTC/FINRA or equivalent plus relevant experience.
• Strong working knowledge of federal securities laws and related rules.

Responsabilidades

• Build and maintain strong client relationships, guiding on compliance requirements and service delivery.

Conocimientos

Integrity

Dependable

Discretion

Team player

Self-motivated

Organizational skills

Communication skills

Microsoft Office

Educación

Bachelor's degree

Herramientas

ComplianceAlpha

Descripción del empleo

ACA Group is seeking a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics programs. You will oversee personal trading surveillance, employee certifications, disclosures, and risk management across client engagements.

You’ll mentor analysts, participate in training, and contribute to thought leadership, business development, and marketing while maintaining current regulatory knowledge and best practices.