Ethics & Compliance Consultant — Regulatory Risk Advisor

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

Benefits offered by this job

Discretionary bonus

Job summary

ACA Group is seeking a Compliance Consultant to work with supervisors, relationship managers, and engagement leads to deliver Code of Ethics offerings. You will oversee personal trading surveillance, employee certifications, disclosures, and conflicts of interest and stay current with evolving regulations.

You’ll mentor analysts, lead client discussions, support managed services projects, and help develop internal knowledge resources while contributing to training and thought leadership within a

Qualifications

• Bachelor’s degree required.
• At least three years in regulatory compliance or equivalent.
• Knowledge of federal securities laws and rules.

Responsibilities

• Build client relationships and guide on compliance requirements.
• Oversee personal trading surveillance and disclosures.
• Lead discussions on outside activities and political contributions.
• Review regulatory risks and propose corrective actions.
• Mentor analysts and support training initiatives.

Skills

Client relationships

Regulatory compliance

Mentoring

Training

Communication skills

Education

Bachelor’s degree

Tools

ComplianceAlpha

Job description

ACA Group is seeking a Compliance Consultant to work with supervisors, relationship managers, and engagement leads to deliver Code of Ethics offerings. You will oversee personal trading surveillance, employee certifications, disclosures, and conflicts of interest and stay current with evolving regulations.

You’ll mentor analysts, lead client discussions, support managed services projects, and help develop internal knowledge resources while contributing to training and thought leadership within a