Compliance Consultant: Ethics & Regulatory Programs

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

Benefits offered by this job

Medical and dental coverage

401(k) plan

Paid time off

Flexible work environment

Student Debt Forgiveness

Pet Insurance

Summer Fridays

Job summary

ACA Group seeks a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer personal trading surveillance, certifications, disclosures, and other compliance requirements.

You will oversee monitoring activities, guide clients on outside business activities, gifts, conflicts of interest, and prepare reports for internal teams.

Qualifications

• Bachelor’s degree.
• At least three years in regulatory compliance; or 2 years with SEC/NFA/CFTC/FINRA or ACA-related data analysis.
• Knowledge of federal securities laws and related rules (e.g., Investment Advisers Act, Investment Company Act, Securities Exchange Act, Commodity Exchange Act, CFTC Act).

Responsibilities

• Build and maintain strong client relationships, guiding on compliance requirements, onboarding, scope, workflow, budgets, contractual obligations, and service delivery.
• Manage implementation and oversight of personal trading surveillance programs using ComplianceAlpha and other compliance tech.
• Oversee compliance monitoring activities, including broker feed reviews, exception reporting, workflows, and employee disclosure and certification processes.
• Lead client discussions and guidance on outside business activities, political contributions, gifts and entertainment, conflicts of interest, and Code of Ethics matters.
• Review and analyze complex compliance issues, regulatory risks, and deficiencies; recommend corrective actions.
• Review clients’ books and records to assess regulatory and policy compliance.
• Design and manage questionnaires, attestations, disclosures, and related processes supporting clients’ programs.
• Prepare, review, and present reports, findings, trends, and recommendations to clients and internal stakeholders.
• Mentor and train analysts and others on regulations, policies, procedures, and Code of Ethics compliance.
• Support and lead managed services projects with supervisors, managers, account owners, and project leads.
• Develop and maintain internal knowledge resources and contribute to training and development initiatives.
• Support thought leadership, business development, and marketing, including public speaking engagements and conferences.
• Perform ad-hoc work and special projects to support ACA’s client and internal initiatives (analyst training, conferences, onsite engagements).

Skills

Professional integrity

Adaptability

Discretion

Team player

People skills

Proactivity

Quality focus

Organizational skills

Communication skills

MS Office

Education

Bachelor’s degree

Tools

ComplianceAlpha

Job description

ACA Group seeks a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer personal trading surveillance, certifications, disclosures, and other compliance requirements.

You will oversee monitoring activities, guide clients on outside business activities, gifts, conflicts of interest, and prepare reports for internal teams.