Ethics & Compliance Consultant: Regulatory Risk Expert

ACA Group

Portland (ME)

On-site

USD 70,000 - 85,000

Full time

3 hours ago

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Job summary

ACA Group in Portland, Maine, is seeking a Compliance Consultant who will work closely with supervisors, relationship managers, and engagement leads to deliver ACA's Code of Ethics offerings. You will administer personal trading surveillance programs, employee certifications, disclosures, and other compliance requirements, serving as a subject matter expert.

The role emphasizes staying current with regulations, mentoring junior staff, and supporting client engagements, with opportunities to

Qualifications

Bachelor’s degree required.
3+ years in regulatory compliance or equivalent.
Knowledge of federal securities laws and related rules.

Responsibilities

Build and maintain strong client relationships and guide on compliance requirements.
Manage implementation and oversight of surveillance programs.
Oversee monitoring activities including broker feed reviews and certifications.
Lead client discussions on outside activities and gifts.
Review complex compliance issues and recommend actions.
Design questionnaires, attestations, and disclosures.
Prepare and present reports to clients and stakeholders.
Mentor analysts on regulations and policies.
Support managed services projects with supervisors and project leads.
Develop internal knowledge resources and training.