Code of Ethics Compliance Consultant

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

Benefits offered by this job

Student Debt Forgiveness

Pet Insurance

401(k) plans

Job summary

ACA Group is seeking a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will oversee personal trading surveillance, employee certifications, disclosures, and other compliance requirements, while mentoring junior staff and guiding client engagements.

The role emphasizes staying current with evolving regulations, providing expert guidance on outside activities, political contributions, and conflicts of

Qualifications

• At least three years in regulatory compliance or two years with SEC/NFA/CFTC/FINRA experience or ACA consulting experience
• Knowledge of federal securities laws and related rules and regulatory positions
• Ability to work in a fast-paced, client-facing environment

Responsibilities

• Build and maintain client relationships, guiding on compliance requirements, onboarding, scope, budgets, obligations and service delivery
• Oversee the implementation and oversight of personal trading surveillance programs and compliance tech
• Lead client discussions on outside activities, gifts, conflicts of interest, and other Code of Ethics matters
• Review complex regulatory issues and recommend corrective actions
• Conduct reviews of books and records to assess regulatory compliance
• Design questionnaires, attestations and disclosures for client programs
• Prepare and present reports and findings to clients and internal stakeholders
• Mentor analysts on regulations, policies and ethics compliance
• Support and lead managed services projects with supervisors and account owners
• Contribute to training, knowledge resources and professional development
• Engage in thought leadership, business development and conferences
• Tackle ad-hoc projects including analyst training, public speaking, and onsite engagements

Skills

Regulatory compliance

Regulatory knowledge

Attention to detail

Education

Bachelor’s degree

Tools

Microsoft Office

Job description

ACA Group is seeking a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will oversee personal trading surveillance, employee certifications, disclosures, and other compliance requirements, while mentoring junior staff and guiding client engagements.

The role emphasizes staying current with evolving regulations, providing expert guidance on outside activities, political contributions, and conflicts of