Compliance & Ethics Consultant

ACA Group; Town of Florida (NY); On-site; USD 72,000 - 90,000; Full time

Job summary

ACA Group is seeking a Compliance Consultant to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer personal trading surveillance programs, employee certifications, disclosures, and reviews to ensure regulatory compliance across client engagements.

In this role you will mentor analysts, lead client discussions on outside activities, gifts of entertainment, and conflicts of interest, and contribute to

Qualifications

• Bachelor’s degree required.
• At least three years of regulatory compliance experience.
• Knowledge of U.S. federal securities laws and related rules.

Responsibilities

• Build and maintain strong client relationships and advise on compliance requirements.
• Oversee personal trading surveillance programs and certifications.
• Lead discussions on outside activities, gifts, and conflicts of interest.
• Review regulatory issues and recommend corrective actions.
• Mentor analysts on regulations and Code of Ethics.
• Support managed services projects with supervisors and account owners.
• Develop internal knowledge resources and training.
• Support thought leadership and business development.

Skills

Professional integrity

Attention to detail

Strong communication

Microsoft Office

Regulatory knowledge

Education

Bachelor’s degree

Tools

ComplianceAlpha

Job description

ACA Group is seeking a Compliance Consultant to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer personal trading surveillance programs, employee certifications, disclosures, and reviews to ensure regulatory compliance across client engagements.

In this role you will mentor analysts, lead client discussions on outside activities, gifts of entertainment, and conflicts of interest, and contribute to