Compliance Analyst - Hybrid/Remote Regulatory Consulting

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

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.