Code of Ethics Compliance Consultant

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

Benefits offered by this job

Medical coverage

Dental coverage

401(k) plan

Paid time off

Flexible work model

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is seeking a regulatory compliance professional in Kentucky to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer personal trading surveillance programs, certifications, disclosures, and monitoring, while mentoring analysts and supporting client engagements to ensure regulatory risk management.

The role requires building client relationships, guiding on program scope, and staying current with applicable

Qualifications

• Bachelor’s degree is required.
• At least three years of regulatory compliance experience or equivalent
• Knowledge of federal securities laws and related rules

Responsibilities

• Build and maintain client relationships and guide on compliance requirements and service delivery.
• Manage implementation and oversight of personal trading surveillance programs using ComplianceAlpha.
• Oversee broker feed reviews, exception reporting, workflows, and disclosure/certification processes.
• Lead client discussions on outside activities, political contributions, gifts, conflicts of interest, and Code of Ethics matters.
• Review regulatory risks and recommend corrective actions.
• Conduct reviews of books and records to assess compliance.
• Design questionnaires, attestations, and disclosures supporting client programs.
• Prepare and present reports and recommendations to clients and internal stakeholders.
• Mentor analysts on regulations, policies, and Code of Ethics matters.
• Support and lead managed services projects with supervisors and account owners.
• Develop internal knowledge resources and contribute to training.
• Support thought leadership, business development, and marketing efforts.

Skills

Professional integrity

Dependable

Adaptable

Team player

Communication skills

MS Office

Tech savvy

Organizational skills

Problem solving

Written communication

Education

Bachelor’s degree

Tools

ComplianceAlpha

Job description

ACA Group is seeking a regulatory compliance professional in Kentucky to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer personal trading surveillance programs, certifications, disclosures, and monitoring, while mentoring analysts and supporting client engagements to ensure regulatory risk management.

The role requires building client relationships, guiding on program scope, and staying current with applicable