Ethics Compliance Consultant – Regulatory Risk & Training

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

Benefits offered by this job

Medical coverage

Dental coverage

401(k) plan

Paid time off

Student debt forgiveness

Pet insurance

Job summary

ACA Group is seeking a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will oversee surveillance programs, employee certifications, disclosures, and ethics reviews, while staying current on evolving regulatory requirements.

You will mentor analysts, support client engagements, and contribute to training and business development initiatives, including thought leadership and public speaking engagements.

Qualifications

• Bachelor’s degree and at least three years of regulatory compliance experience.
• Knowledge of federal securities laws and associated rules (e.g., Advisers Act, 1940 Act, 1934 Act, CEA/CEA Act, CFTC Act).
• Experience in supervising, training, and mentoring is a plus.

Responsibilities

• Build and maintain strong client relationships; guide on compliance requirements, onboarding, program scope, and service delivery.
• Oversee implementation and ongoing management of personal trading surveillance and compliance programs.
• Lead client discussions on outside business activities, political contributions, gifts, and ethics matters; identify and address regulatory risks.
• Review complex regulatory issues and recommend corrective actions; assess books and records for compliance.
• Design questionnaires, attestations, disclosures, and processes supporting client compliance programs.
• Prepare, review, and present reports and trends to clients and internal stakeholders.
• Mentor analysts on regulations, policies, and ethics compliance matters.

Skills

Regulatory compliance

Client relations

Regulatory risk

Policy documentation

Education

Bachelor’s degree

Job description

ACA Group is seeking a Regulatory Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will oversee surveillance programs, employee certifications, disclosures, and ethics reviews, while staying current on evolving regulatory requirements.

You will mentor analysts, support client engagements, and contribute to training and business development initiatives, including thought leadership and public speaking engagements.