Compliance Analyst

ACA Group; Portland (ME); Híbrido; USD 65 000 - 90 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Medical and dental coverage

401(k) plan

Paid time off options

Flexible work environment

Student Debt Forgiveness

Pet Insurance

Resumo da oferta

ACA Group is seeking a Compliance Program Specialist to administer assigned client relationships and projects, coordinating with internal teams to deliver high-quality compliance services and guidance. You’ll perform regulatory consulting, assist with program reviews, draft reports and manuals, and participate in on-site and remote engagements, including occasional travel.

Hybrid work with two days in the Portland office and three days remote supports flexible scheduling while assuring strong

Qualificações

• 2 years of industry experience.
• Knowledge of federal securities laws and related rules (e.g., Investment Advisers Act, Investment Company Act).

Responsabilidades

• Administer assigned client relationships and projects proactively, including guiding clients and delivering a superior experience.
• Provide regulatory consulting services to clients, including drafting regulatory filings, reviewing policies and marketing materials, and conducting training.
• Assist all aspects of compliance program reviews (preparing document requests, reviewing documents, conducting interviews, drafting reports).
• Coordinate and participate in regular compliance meetings with clients.
• Perform ad-hoc work and special projects to support ACA on client/internal initiatives, including onsite secondment when needed.
• Conduct on-site and off-site mock SEC examinations and other consulting engagements.

Conhecimentos

Regulatory consulting

Client relationship management

Regulatory filings

Microsoft Office

Formação académica

Bachelor's degree

Ferramentas

Microsoft Excel

Office 365

Descrição da oferta de emprego

Hybrid: Two days per week in the office/ Three days remote

T he individual in this position is responsible for administering a compliance program in conjunction with a Chief Compliance Officer, participating in compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and working with an internal team to provide compliance assistance and advice to investment advisory firms. The individual in this position is also responsible for coordinating completion of compliance services by working with multiple internal departments.

What you’ll do:

• Administer assigned client relationships and projects proactively, including providing guidance and delivering a superior client experience. Liaising with other internal departments as necessary, including responding to clients’ questions and needs promptly.
• Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, marketing materials, and other compliance documents, answering compliance-related questions from clients, conduct compliance training sessions, as well as identifying compliance-related issues).
• Assist all aspects of compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports), including reviewing the work of project team members.
• Coordinating and participating in regularly scheduled compliance meetings with clients.
• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives including occasional onsite client secondment work.
• Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting and testing engagements.

To qualify for the role you must have:

• 2 years of industry experience.
• Some knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940)

Ideally, you’ll also have:

• Bachelor’s degree.
• Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.

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 to establish and maintain effective working relationships with colleagues and clients.
• Highly motivated and goal-oriented; proactive 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.
• Willingness for occasional 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 , 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 businesses. 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 protected veteran status, or any other legally protected basis, by applicable law.