Code of Ethics Compliance Specialist

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

Benefits offered by this job

Medical coverage

Dental coverage

401(k) plan

Paid time off

Student debt forgiveness

Pet insurance

Job summary

ACA Group is seeking a Compliance Consultant to support compliance program delivery, surveillance, certifications, and activity reviews for financial services clients. You will work with supervisors, relationship managers, and engagement leads to ensure regulatory requirements are met and actions are documented.

You will mentor analysts, contribute to training, and help develop internal knowledge resources.

Qualifications

• Bachelor’s degree required.
• 3+ years in regulatory compliance or equivalent experience.
• Knowledge of federal securities laws and related rules is required.

Responsibilities

• Build and maintain client relationships advising on compliance requirements.
• Oversee personal trading surveillance programs and disclosure processes.
• Lead consultant teams and mentor junior analysts.
• Prepare reports and present findings to clients and internal stakeholders.
• Support and lead managed services projects with supervisors and account owners.

Skills

Regulatory compliance

Communication skills

Attention to detail

Team collaboration

Education

Bachelor’s degree

Job description

ACA Group is seeking a Compliance Consultant to support compliance program delivery, surveillance, certifications, and activity reviews for financial services clients. You will work with supervisors, relationship managers, and engagement leads to ensure regulatory requirements are met and actions are documented.

You will mentor analysts, contribute to training, and help develop internal knowledge resources.