Ethics & Compliance Consultant – Regulation & Training Lead

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

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group seeks an experienced regulatory compliance professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings and compliance programs. You will oversee surveillance programs, certifications, disclosures, and regulatory risk management while mentoring analysts and supporting client engagements.

The role requires knowledge of federal securities laws, strong client-facing skills, and the ability to manage multiple projects in a

Qualifications

• Bachelor’s degree.
• At least three years of industry experience serving in a regulatory compliance role, or at least 2 years including regulatory authority experience (SEC, NFA, CFTC, FINRA).
• General working knowledge of relevant federal securities laws and associated rules and regulatory positions.

Responsibilities

• Build client relationships and guide on employee compliance requirements, onboarding, scope, workflows, budgets, and service delivery.
• Manage implementation and oversight of personal trading surveillance programs.
• Oversee compliance monitoring activities, including broker feed reviews and exception reporting.
• Lead client discussions on outside business activities, political contributions, gifts and entertainment, conflicts of interest, and Code of Ethics matters.
• Review complex regulatory issues and recommend corrective actions.
• Conduct reviews of books and records to assess regulatory compliance.

Skills

Regulatory compliance knowledge

Client relationship management

Attention to detail

Regulatory risk management

Education

Bachelor’s degree

Job description

ACA Group seeks an experienced regulatory compliance professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings and compliance programs. You will oversee surveillance programs, certifications, disclosures, and regulatory risk management while mentoring analysts and supporting client engagements.

The role requires knowledge of federal securities laws, strong client-facing skills, and the ability to manage multiple projects in a