Ethics & Compliance Solutions Consultant

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

Benefits offered by this job

Student Debt Forgiveness

Pet Insurance

Flexible Work Environment

Job summary

ACA Group is seeking a regulatory compliance professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will oversee surveillance programs, certifications, disclosures, and risk management while mentoring analysts and contributing to client engagements.

The role demands up-to-date knowledge of securities laws and best practices, with a focus on ethics, employee conduct, and regulatory risk in a fast-paced environment.

Qualifications

• Bachelor’s degree is required.
• At least three years in regulatory compliance; or 2 years with relevant regulatory/analyst background.
• Solid working knowledge of federal securities laws and related rules.

Responsibilities

• Build and maintain strong client relationships and guide on compliance requirements.
• Oversee personal trading surveillance programs and related reviews.
• Lead client discussions on outside activities, gifts, and conflicts of interest.
• Review complex regulatory issues and propose corrective actions.
• Mentor analysts and support managed services projects.

Skills

Regulatory knowledge

Client relationship management

Project leadership

Training & mentoring

Regulatory risk awareness

Education

Bachelor’s degree

Job description

ACA Group is seeking a regulatory compliance professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will oversee surveillance programs, certifications, disclosures, and risk management while mentoring analysts and contributing to client engagements.

The role demands up-to-date knowledge of securities laws and best practices, with a focus on ethics, employee conduct, and regulatory risk in a fast-paced environment.