Ethics & Compliance Consultant - Regulatory Risk Specialist

ACA Group; Oklahoma; On-site; USD 72,000 - 90,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off

Flexible work environment

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is seeking a Compliance Consultant to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer personal trading surveillance programs, certifications, disclosures, and other employee compliance requirements, acting as a subject matter expert and mentor.

The role includes leading client discussions, reviewing regulatory issues, designing questionnaires and attestations, producing reports, and supporting

Qualifications

• Bachelor’s degree required.
• At least three years of industry experience in regulatory compliance or two years with SEC/NFA/CFTC/FINRA or equivalent.
• General working knowledge of federal securities laws and related rules.

Responsibilities

• Build and maintain strong client relationships and provide guidance on compliance requirements, onboarding, program scope, and service delivery.
• Manage implementation and oversight of personal trading surveillance programs using ComplianceAlpha and other tools.
• Oversee compliance monitoring activities, including broker feed reviews, exception reporting, workflows, and disclosures.
• Lead client discussions on outside business activity, political contributions, gifts and entertainment, conflicts of interest, and Code of Ethics matters.
• Review complex regulatory issues and recommend corrective actions.
• Conduct reviews of client books and records for regulatory and policy compliance.
• Design and manage questionnaires, attestations, disclosures, and related processes.
• Prepare and present reports, findings, trends, and recommendations.

Skills

Regulatory compliance

Client relationship management

Mentoring/training

Public speaking

Project leadership

Team collaboration

Attention to detail

Communication skills

Education

Bachelor’s degree

Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred

Tools

ComplianceAlpha

Microsoft Office

Job description

ACA Group is seeking a Compliance Consultant to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer personal trading surveillance programs, certifications, disclosures, and other employee compliance requirements, acting as a subject matter expert and mentor.

The role includes leading client discussions, reviewing regulatory issues, designing questionnaires and attestations, producing reports, and supporting