Code of Ethics Compliance Consultant

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

Job summary

ACA Group seeks a Compliance Consultant to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, certifications, disclosures, and regulatory risk management while mentoring analysts and expanding client engagements.

Ideal candidates hold a Bachelor’s degree and 3+ years in regulatory compliance or related authorities or ACA-equivalent experience, with strong knowledge of federal

Qualifications

• Bachelor’s degree required.
• At least three years in regulatory compliance or related authority/regulatory experience.
• Knowledge of federal securities laws and related rules (e.g., Advisers Act, Investment Company Act, Securities Exchange Act, CEA/CF Act).

Responsibilities

• Build and maintain strong client relationships, guiding on compliance requirements, onboarding, scope, budgets, and service delivery.
• Manage implementation and oversight of personal trading surveillance programs using ComplianceAlpha and other tools.
• Oversee monitoring activities, including broker feed reviews, exception reporting, and certification processes.
• Lead client discussions on outside business activities, political contributions, gifts, and conflicts of interest.
• Review complex compliance issues and regulatory risks; recommend corrective actions.
• Conduct reviews of books and records to assess regulatory compliance.
• Design and manage questionnaires, attestations, and disclosures for client programs.
• Prepare and present reports, findings, trends, and recommendations to clients and stakeholders.
• Mentor analysts on regulations and Code of Ethics compliance; train team members.
• Support managed services projects with supervisors and project leads.
• Develop internal knowledge resources and contribute to training and development.
• Support thought leadership, business development, and marketing initiatives, including public speaking and conferences.
• Attend onsite client engagements and participate in special projects as needed.

Skills

Professional integrity

Dependable

Adaptable

Discretion

Independent judgment

Fast-paced environment

Relationship building

Self-motivated

Customer focus

Education

Bachelor's degree

Job description

ACA Group seeks a Compliance Consultant to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, certifications, disclosures, and regulatory risk management while mentoring analysts and expanding client engagements.

Ideal candidates hold a Bachelor’s degree and 3+ years in regulatory compliance or related authorities or ACA-equivalent experience, with strong knowledge of federal