Code of Ethics Compliance Consultant

ACA Group; Montana; Presencial; USD 72 000 - 90 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Medical and dental coverage

401(k) plans

Paid time off

Student Debt Forgiveness

Pet Insurance

Resumo da oferta

ACA Group, a leading GRC advisor in financial services, seeks a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings.

You will administer surveillance programs, certify employees, review outside activities, monitor political contributions, and assess conflicts of interest while staying current on evolving regulatory risk management.

Qualificações

• Bachelor’s degree required.
• At least three years in regulatory compliance or two years with SEC/NFA/CFTC/FINRA or equivalent.
• Strong knowledge of federal securities laws and related rules.

Responsabilidades

• Build and sustain client relationships; guide on employee compliance requirements and program scope.
• Oversee personal trading surveillance programs and employee certifications.
• Lead discussions on outside activities, gifts, and conflicts of interest; provide regulatory guidance.
• Review complex compliance issues and recommend corrective actions; assess books and records for compliance.
• Design and manage questionnaires, attestations, disclosures, and related processes for clients.

Conhecimentos

Regulatory compliance

Attention to detail

Communication skills

Microsoft Office

Tech-enabled environment

Formação académica

Bachelor’s degree

Ferramentas

ComplianceAlpha

Descrição da oferta de emprego

ACA Group, a leading GRC advisor in financial services, seeks a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings.

You will administer surveillance programs, certify employees, review outside activities, monitor political contributions, and assess conflicts of interest while staying current on evolving regulatory risk management.