Ethics & Compliance Consultant

ACA Group; Medford (OR); On-site; USD 72,000 - 90,000; Full time

Benefits offered by this job

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is seeking a Compliance professional to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, oversee certifications, disclosures, and reviews, and ensure regulatory risk management alignment for client engagements.

The role emphasizes SME responsibilities, mentoring, and ongoing regulatory knowledge to support ACA’s services and client engagements across governance, risk, and

Qualifications

• Bachelor’s degree.
• At least three years of regulatory compliance experience or two years with related roles (SEC/NFA/CFTC/FINRA or data analyst at ACA/consulting).
• General working knowledge of federal securities laws and related rules.

Responsibilities

• Build and maintain client relationships, guiding on compliance requirements and service delivery.
• Manage implementation and oversight of personal trading surveillance programs using ComplianceAlpha and other tools.
• Oversee compliance monitoring activities including broker feed reviews, exception reporting, and certification processes.
• Lead client discussions on outside business activities, political contributions, gifts, and conflicts of interest.
• Review complex compliance issues, regulatory risks, and propose corrective actions.
• Conduct reviews of books and records to assess regulatory compliance.
• Design and manage questionnaires, attestations, disclosures, and related processes.
• Prepare, review and present reports, findings, and recommendations to clients and internal stakeholders.
• Mentor and train analysts on regulations, policies, and Code of Ethics compliance.
• Support managed services projects with supervisors and project leads.
• Develop internal knowledge resources and training initiatives.
• Support thought leadership, business development, and marketing, including public speaking and conferences.
• Perform ad-hoc work such as analyst training, public speaking, attendance at conferences, onsite engagements.

Skills

Regulatory compliance

Securities laws knowledge

Education

Bachelor’s degree

Job description

ACA Group is seeking a Compliance professional to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, oversee certifications, disclosures, and reviews, and ensure regulatory risk management alignment for client engagements.

The role emphasizes SME responsibilities, mentoring, and ongoing regulatory knowledge to support ACA’s services and client engagements across governance, risk, and