Consultant (MS), Code of Ethics (COE)

ACA Group; Medford (OR); Vor Ort; USD 70.000 - 85.000; Vollzeit

Benefits dieser Stelle

Medical and dental coverage

401(k) plan

Paid time off

Flexible work environment

Student debt forgiveness

Pet insurance

Summer Fridays

Zusammenfassung

ACA Group in Medford, OR is seeking a regulatory compliance professional to support supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings and related programs, including surveillance, certifications, disclosures, and risk assessments.

You will train analysts, mentor staff, lead client discussions, review regulatory issues, and contribute to thought leadership and business development while staying current with federal securities

Qualifikationen

• Bachelor’s degree required.
• At least three years in regulatory compliance; or at least 2 years with experience at a regulator or analytics role as described.
• Knowledge of federal securities laws and related regulatory frameworks (Investments Advisers/Company Act, Securities Exchange Act, Commodity Acts).

Aufgaben

• Build and maintain strong client relationships and guide on compliance requirements, onboarding, scope, workflows, budgets, and service delivery.
• Oversee personal trading surveillance programs and compliance monitoring activities.
• Lead client discussions on outside activities, political contributions, gifts, conflicts of interest, and Code of Ethics matters.
• Review complex regulatory issues and propose corrective actions; conduct books-and-records reviews for compliance.
• Design and manage questionnaires, disclosures, attestations, and related processes for client programs.
• Prepare and present reports, findings, trends, and recommendations to clients and internal stakeholders.
• Mentor analysts and staff on regulations, policies, and Code of Ethics compliance.
• Support managed services projects and contribute to training and development initiatives.

Kenntnisse

Professional integrity

Client relationship building

Communication skills

Analytical thinking

Microsoft Office proficiency

Ausbildung

Bachelor's degree

Tools

ComplianceAlpha

Other compliance tech

Jobbeschreibung

The Opportunity

The individual in this position works closely with and supports supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings. Responsibilities include administering and overseeing personal trading surveillance programs, employee certifications, gifts and entertainment reviews, outside business activity disclosures, political contribution monitoring, conflicts of interest assessments, and other employee compliance requirements. Consultants typically serve as subject matter experts and may have supervisory, training, and mentoring responsibilities in addition to supporting client engagements. Consultants are expected to maintain current knowledge of applicable regulations, industry best practices, and evolving compliance requirements related to Code of Ethics programs, employee conduct, and regulatory risk management.

The Opportunity

The individual in this position works closely with and supports supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings. Responsibilities include administering and overseeing personal trading surveillance programs, employee certifications, gifts and entertainment reviews, outside business activity disclosures, political contribution monitoring, conflicts of interest assessments, and other employee compliance requirements. Consultants typically serve as subject matter experts and may have supervisory, training, and mentoring responsibilities in addition to supporting client engagements. Consultants are expected to maintain current knowledge of applicable regulations, industry best practices, and evolving compliance requirements related to Code of Ethics programs, employee conduct, and regulatory risk management.

What you’ll do

• Build and maintain strong client relationships, providing guidance on employee compliance requirements, best practices, onboarding, program scope, workflow expectations, budgets, contractual obligations, and overall service delivery
• Manage the implementation, administration, and oversight of personal trading surveillance programs using ComplianceAlpha and other compliance technology solutions
• Oversee compliance monitoring activities, including broker feed reviews, exception reporting, compliance workflows, and employee disclosure and certification processes
• Lead client discussions and provide guidance on outside business activities, political contributions, gifts and entertainment, conflicts of interest, and other Code of Ethics matters
• Review and analyze complex compliance issues, regulatory risks, and compliance deficiencies, and recommend appropriate corrective actions
• Conduct reviews of clients' books and records and other documentation to assess regulatory and policy compliance
• Design and manage questionnaires, attestations, disclosures, and related processes that support clients' compliance programs
• Prepare, review, and present reports, findings, trends, and recommendations to clients and internal stakeholders
• Mentor and train analysts and other team members on regulations, policies, procedures, and Code of Ethics compliance matters
• Support and lead managed services projects in collaboration with supervisors, relationship managers, account owners, and project leads
• Develop and maintain internal knowledge resources and contribute to training and professional development initiatives
• Support thought leadership, business development, and marketing initiatives, including public speaking engagements, conferences, and industry roundtables
• Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to:
  • Analyst training
  • Public speaking engagements
  • Attend conferences and roundtable events
  • Onsite client engagements

To qualify for the role you must have

• Bachelor’s degree
• At least three years of industry experience serving in a regulatory compliance role. Alternatively, at least 2 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA or another regulatory authority or (ii) a data analyst or senior data analyst with ACA or a consulting organization comparable to ACA
• General working 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, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974).

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, small team environment
• Ability to establish and maintain effective working relationships with colleagues and clients
• Highly motivated and goal oriented; pro-active 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.

Ideally, you’ll also have

• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.

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 and 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 business. 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 or protected veteran status, or any other legally protected basis, in accordance with applicable law.

Salary Range: $70,000 - $85,000 plus discretionary bonus

The cash compensation range we have provided has been benchmarked against similar organizations of comparable size, sector, and age. Our offers of employment consider a variety of factors, including but not limited to, unique skill sets, specific expertise or certifications and business/organizational needs. It is not typical for us to hire talent at the top of the range for a role, in part because it’s so important to us to allow all ACA employees the opportunity to develop over time, and to feel rewarded for doing so. Our listed range is a reasonable estimate of the total yearly compensation.

Please note that everyone using, storing, sharing or transmitting information with or through ACA devices or systems, should have no expectation of privacy in any message, files, data, document, facsimile, telephone conversation, conversation, message, or any other kind of information or communications transmitted to, received from, printed from, or stored or recorded while utilizing any ACA systems, software, and data.