Compliance Analyst

ACA Group; New York (NY); Hybrid; USD 67,000 - 70,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off

Job summary

ACA Group in New York, NY is seeking a Compliance Analyst to join our team in a hybrid role. You will work with relationship managers, account owners, and engagement leads to provide regulatory consulting for investment advisers and other financial firms.

The role includes completing the Analyst Training Program, conducting mock SEC examinations, drafting reports and policies, and maintaining knowledge resources. A FINRA SIE or equivalent is preferred, with travel as needed.

Qualifications

• Ideally, a major or concentration in compliance, criminal justice, law, business, accounting, finance, or economics is preferred.
• Passing score on FINRA SIE Exam or equivalent, or demonstrated industry knowledge as deemed comparable.

Responsibilities

• Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagements.
• Prepare preliminary drafts of reports, matrices, policies and procedures, and other client deliverables.
• Maintain internal knowledge resources and research novel or complex compliance issues.
• Perform email surveillance reviews and forensic reviews of client books and records.
• Study for and pass the FINRA SIE Exam.
• Participate in the Analyst Training Program and complete coursework and case studies.
• Support ACA initiatives including onsite client secondment work.

Skills

FINRA SIE Exam

Education

Business, Economics, Law or related major preferred

Job description

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Compliance Analyst

Date: Oct 8, 2026

Location: New York, NY, US

Company: ACA Group

Hybrid: New York Tri-State Area ( two days per week in the office/ three days remote)

This position works with relationship managers, account owners, and engagement leads toprovideregulatory consulting services to investment advisers and other firms in the investment industry. Analysts are expected toproceedthrough the Analyst Training Program to gain industry and relevant knowledge to provide consulting services.

What you’ll do:

• Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting and testing engagements.
• Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables.
• Maintain internal knowledge resources, such as databases of inspection report comments. Research novel or complex compliance issues.
• Perform email surveillance reviews and other forensic reviews of books and records of clients.
• Studyfor and pass the FINRA Securities Industry Essentials (“SIE”) Exam.
• Participate in the Analyst Training Program via the Learning Management System’s courses/curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion of topical tests and case studies.
• Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiativesincluding onsite client secondment work.

To Qualify for the role, you will have:

Ideally, you’ll also have:

• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.
• Passing score on FINRA SIE Exam or equivalent, or other measurable demonstration of industry fundamental knowledge as deemed comparable at management’s discretion.

Skills and Attributes for Success:

• Demonstrated professional integrity
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
• Ability to exercise discretion and make independent judgments on matters of significance
• Ability to work in a fast-paced team environment
• Ability toestablishand maintain effective working relationships with colleagues and clients
• Highly motivated andgoal oriented; pro-active in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks
• Dedicated to upholding ACA’s high-quality standards and customer service focus
• Strong organizational and problem-solving skills with attention to detail
• Strong oral and written communication skills
• Proficient with Microsoft Office applications and comfortable working in a tech enabled environment
• Willing to travel

What working at ACA offers:

• We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business.
• Our Total Rewards package includes medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment.
• You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
• We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

About ACA:

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

What we commit to:

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.

The cash compensation range we have provided has been benchmarked against similar organizations of comparable size, sector, and age. Our offers of employment consider a variety of factors, including but not limited to, unique skill sets, specific expertise or certifications and business/organizational needs. It is not typical for us to hire talent at the top of the range for a role, in part because it’s so important to us to allow all ACA employees the opportunity to develop over time, and to feel rewarded for doing so. Our listed range is a reasonable estimate of the total yearly compensation.

Salary Range:$67,000 -$70,000. plus discretionary bonus