Ethics Compliance Consultant | Regulatory Risk & Training

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

Benefits offered by this job

Medical coverage

Dental coverage

401(k) plan

Flexible work environment

Paid time off

Student debt forgiveness

Pet insurance

Job summary

ACA Group seeks a compliance professional to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, oversee certifications, disclosures, and reviews, and stay current on evolving regulatory risk management.

As a consultant, you may mentor analysts, support client engagements, and contribute to training and internal knowledge resources while collaborating on projects with senior

Qualifications

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

Responsibilities

• Build and maintain strong client relationships, guiding on compliance requirements, onboarding, program scope, workflow expectations, budgets, contractual obligations, and service delivery.
• Manage implementation, administration, and oversight of personal trading surveillance programs using ComplianceAlpha and other compliance tech.
• Oversee compliance monitoring activities, including broker feed reviews, exception reporting, workflows, and employee disclosure and certification processes.
• Lead client discussions on outside business activities, political contributions, gifts and entertainment, conflicts of interest, and other Code of Ethics matters.
• Review and analyze complex compliance issues, regulatory risks, and deficiencies; recommend corrective actions.
• Conduct reviews of clients’ books and records to assess regulatory and policy compliance.
• Design and manage questionnaires, attestations, disclosures, and related processes for clients’ programs.
• Prepare, review, and present reports, findings, trends, and recommendations to clients and stakeholders.
• Mentor and train analysts on regulations, policies, procedures, and Code of Ethics compliance.
• Support and lead managed services projects with supervisors and project leads.
• Develop internal knowledge resources and contribute to training and professional development.
• Support thought leadership, business development, and marketing, including public speaking and conferences.
• Perform ad-hoc work and special projects to support ACA initiatives, including analyst training and onsite engagements.

Skills

Regulatory compliance

Relationship management

Project coordination

Training and mentoring

Education

Bachelor’s degree

Tools

ComplianceAlpha

Job description

ACA Group seeks a compliance professional to support supervisors, relationship managers, account owners, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, oversee certifications, disclosures, and reviews, and stay current on evolving regulatory risk management.

As a consultant, you may mentor analysts, support client engagements, and contribute to training and internal knowledge resources while collaborating on projects with senior