Compliance & Ethics Consultant

ACA Group; New York (NY); On-site; USD 72,000 - 90,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plan

Paid time off

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group seeks a regulatory compliance professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will oversee personal trading surveillance programs, employee certifications, disclosures, and other compliance requirements while mentoring junior staff and supporting client engagements.

You’ll stay current on federal securities laws and evolving compliance practices, contributing to training, business development, and project

Qualifications

• Bachelor’s degree is required.
• At least three years of industry experience in regulatory compliance, or at least 2 years with SEC/NFA/CFTC/FINRA or equivalent experience.
• General working knowledge of federal securities laws and related rules/regulatory positions.

Responsibilities

• Build and maintain strong client relationships and provide guidance on compliance requirements and service delivery.
• Manage implementation and oversight of personal trading surveillance programs and compliance workflows.
• Oversee broker feed reviews, exception reporting, and disclosure/certification processes.
• Lead client discussions on outside business activities, political contributions, gifts, conflicts of interest, and Code of Ethics matters.
• Review complex regulatory issues and recommend corrective actions.
• Conduct reviews of client books and records to assess regulatory compliance.
• Design and manage questionnaires, attestations, and disclosures supporting client programs.
• Prepare and present reports, findings, and recommendations to clients and internal stakeholders.
• Mentor analysts on regulations, policies, and Code of Ethics compliance.
• Support managed services projects with supervisors and project leads.
• Develop internal knowledge resources and contribute to training initiatives.
• Support thought leadership and public speaking engagements; attend conferences and roundtables.
• Perform ad‑hoc work and special projects as needed, including analyst training and onsite engagements.

Skills

Professional integrity

Client relationship management

Discretion and independent judgment

Fast-paced team environment

Interpersonal collaboration

Proactive learning

Oral and written communication

Microsoft Office proficiency

Tech-enabled work environment

Education

Bachelor’s degree

Job description

ACA Group seeks a regulatory compliance professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will oversee personal trading surveillance programs, employee certifications, disclosures, and other compliance requirements while mentoring junior staff and supporting client engagements.

You’ll stay current on federal securities laws and evolving compliance practices, contributing to training, business development, and project