Ethics & Compliance Consultant (Code of Ethics)

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

Job summary

ACA Group is seeking a Consultant (MS), Code of Ethics, to support supervisors, relationship managers, account owners and engagement leads in delivering 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.

Qualifications

• At least three years of regulatory compliance experience, or 2 years with related regulator/analyst background.
• General working knowledge of federal securities laws and related rules (e.g., Advisers Act, Investment Company Act, 1934 Act).

Responsibilities

• Build and maintain client relationships; guide on compliance requirements, onboarding, scope, budgets, and service delivery.
• Manage implementation and oversight of personal trading surveillance programs.
• Oversee broker feed reviews, exception reporting, workflows, and disclosure/certification processes.
• Lead client discussions on outside business activities, political contributions, gifts, and conflicts of interest.
• Review complex regulatory issues and suggest corrective actions.
• Conduct reviews of books/records to assess compliance.
• Design questionnaires, attestations, and disclosures for programs.
• Prepare and present reports, findings, trends to clients and stakeholders.
• Mentor analysts on regulations, policies, and Code of Ethics matters.
• Support and lead managed services projects with supervisors and account leaders.
• Develop internal knowledge resources and contribute to training initiatives.
• Support thought leadership, business development and marketing, including conferences.

Skills

Regulatory compliance experience

Securities laws knowledge

Client guidance

Relationship management

Mentoring/training

Education

Compliance-related degree preferred

Job description

ACA Group is seeking a Consultant (MS), Code of Ethics, to support supervisors, relationship managers, account owners and engagement leads in delivering 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.