Ethics & Compliance Consultant | Regulatory Risk Expert

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

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off options

Flexible work environment

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is seeking a Regulatory Compliance Consultant in the United States to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, certifications, disclosures, and other employee compliance requirements, while staying current with evolving regulations.

The role includes mentoring, client engagements, and contributing to training initiatives, with responsibilities across thought leadership and

Qualifications

• Bachelor’s degree required.
• At least three years of regulatory compliance experience; or two years with related regulatory exposure (SEC, NFA, CFTC, FINRA, etc.).
• Solid working knowledge of federal securities laws and associated rules.

Responsibilities

• Build and maintain strong client relationships; guide on compliance requirements and service delivery.
• Oversee personal trading surveillance programs and compliance workflows.
• Lead discussions on outside activities, gifts, political contributions, conflicts of interest, and ethics matters.
• Review complex regulatory issues and advise on corrective actions.
• Prepare reports and present findings to clients and internal stakeholders.
• Mentor analysts on regulations, policies, and ethics compliance.

Skills

Regulatory compliance

Client relationship

Regulatory risk management

Attention to detail

Education

Bachelor’s degree

Tools

ComplianceAlpha

Job description

ACA Group is seeking a Regulatory Compliance Consultant in the United States to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, certifications, disclosures, and other employee compliance requirements, while staying current with evolving regulations.

The role includes mentoring, client engagements, and contributing to training initiatives, with responsibilities across thought leadership and