Ethics & Compliance Consultant

ACA Group

Utah

On-site

USD 72,000 - 90,000

Full time

4 hours ago

Be an early applicant

Application generator

Get a reply from this employer — a resume and cover letter tailored to exactly what they’re hiring for.

Get past ATS filters

Benefits offered by this job

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is seeking a Regulatory 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, manage employee certifications, disclosures, and monitoring of conflicts of interest across client engagements.

You will mentor analysts, contribute to training, and support business development while staying current with evolving securities regulation and

Qualifications

Bachelor’s degree required and 3+ years in regulatory compliance.
Experience with U.S. SEC, NFA, CFTC, FINRA or equivalent agencies preferred.
Working knowledge of federal securities laws and related rules.

Responsibilities

Build and maintain strong client relationships and guide on compliance requirements and service delivery.
Oversee implementation and monitoring of personal trading surveillance programs.
Lead discussions on outside activities, political contributions, and conflicts of interest.
Review complex regulatory issues and recommend corrective actions.
Mentor analysts on regulations, policies, and Code of Ethics matters.
Support managed services projects and contribute to training initiatives.
Develop internal knowledge resources and participate in business development activities.
Attend conferences, roundtables, and public speaking engagements.