Code of Ethics Compliance Consultant

ACA Group; Missouri; On-site; USD 70,000 - 85,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plan

Paid time off

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is seeking a seasoned compliance professional in the United States to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. The role includes overseeing personal trading surveillance, employee certifications, disclosures, and regulatory risk management.

You will mentor analysts and contribute to client engagements with up-to-date regulatory knowledge.

Qualifications

• Bachelor’s degree required.
• At least three years in regulatory compliance or equivalent experience with a regulator or data analytics role.
• Knowledge of federal securities laws and related rules is expected.

Responsibilities

• Build and maintain client relationships; guide on compliance requirements and service delivery.
• Manage implementation and oversight of personal trading surveillance programs.
• Oversee compliance monitoring activities and disclosure/certification processes.
• Lead client discussions on outside activities, political contributions, gifts, and conflicts of interest.
• Review complex regulatory issues and advise on corrective actions.
• Conduct reviews of books and records for regulatory compliance.
• Design questionnaires, disclosures, and processes supporting compliance programs.
• Prepare and present reports, findings, and recommendations to clients and internal stakeholders.
• Mentor analysts on regulations, policies, and governance matters.
• Support managed services projects with supervisors and account owners.
• Develop internal knowledge resources and contribute to training.
• Support thought leadership, conferences, and marketing initiatives.
• Attend conferences, roundtables, and onsite engagements as needed.

Skills

Professional integrity

Dependable

Flexible

Discretion

Team collaboration

Communication

Organizational skills

Problem solving

Proactive learning

Education

Bachelor’s degree

Job description

ACA Group is seeking a seasoned compliance professional in the United States to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. The role includes overseeing personal trading surveillance, employee certifications, disclosures, and regulatory risk management.

You will mentor analysts and contribute to client engagements with up-to-date regulatory knowledge.