Ethics & Compliance Consultant

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

Benefits offered by this job

Student Debt Forgiveness

Pet Insurance

Total Rewards package (medical/dental,

401(k) and paid time off

Job summary

ACA Group is looking for a Compliance professional in the United States to support supervisors and relationship managers in delivering Code of Ethics offerings. You will oversee personal trading surveillance programs, employee certifications, disclosures, and risk reviews while staying current with evolving regulations.

You will build client relationships, lead service delivery, and mentor junior staff. The role includes managing projects, supporting business development, and presenting findings

Qualifications

• Bachelor’s degree in a relevant field.
• At least three years of regulatory compliance experience.
• Strong knowledge of federal securities laws and related rules.

Responsibilities

• Build and maintain client relationships and guidance on compliance requirements.
• Manage implementation and oversight of personal trading surveillance programs.
• Oversee monitoring activities including broker feed reviews and certification processes.
• Lead client discussions on outside activities, political contributions, gifts, and conflicts of interest.
• Review complex regulatory issues and recommend corrective actions.
• Design and manage questionnaires and disclosures for client programs.
• Prepare and present reports to clients and internal stakeholders.
• Mentor analysts and support managed services projects.

Skills

Client relationships

Regulatory compliance

Policy interpretation

Regulatory reporting

Education

Bachelor’s degree

Tools

ComplianceAlpha

Job description

ACA Group is looking for a Compliance professional in the United States to support supervisors and relationship managers in delivering Code of Ethics offerings. You will oversee personal trading surveillance programs, employee certifications, disclosures, and risk reviews while staying current with evolving regulations.

You will build client relationships, lead service delivery, and mentor junior staff. The role includes managing projects, supporting business development, and presenting findings