Ethics & Regulatory Compliance Consultant

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

Benefits offered by this job

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group in Maryland is seeking a Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, manage certifications, disclosures, and conduct risk assessments to ensure regulatory compliance.

The role includes mentoring analysts, leading client discussions, and delivering reports with trends and recommendations, while staying current on federal securities laws and evolving

Qualifications

• Bachelor’s degree required with proven regulatory compliance experience.
• At least three years in regulatory compliance or related authority experience.
• Strong knowledge of federal securities laws and related rules.

Responsibilities

• Build and maintain client relationships and oversee service delivery.
• Administer personal trading surveillance programs and certifications.
• Oversee disclosure reviews, outside activity monitoring, and conflicts of interest.
• Lead client discussions and provide guidance on compliance matters.
• Review regulatory issues and recommend corrective actions.
• Design questionnaires and disclosures to support compliance programs.
• Prepare and present reports, findings, and trends to clients and stakeholders.
• Mentor analysts and support training initiatives.
• Support managed services projects and business development.

Skills

Client relationships

Compliance guidance

Regulatory knowledge

Mentoring

Education

Bachelor’s degree

Tools

ComplianceAlpha

Job description

ACA Group in Maryland is seeking a Compliance Consultant to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, manage certifications, disclosures, and conduct risk assessments to ensure regulatory compliance.

The role includes mentoring analysts, leading client discussions, and delivering reports with trends and recommendations, while staying current on federal securities laws and evolving