Ethics & Regulatory Compliance Consultant

ACA Group; New York (NY); On-site; USD 70,000 - 85,000; Full time

Benefits offered by this job

Medical coverage

Dental coverage

401(k)

Paid time off

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group in New York is seeking a Compliance Consultant to support supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings. You will administer personal trading surveillance programs, employee certifications, disclosures, and other compliance requirements.

You'll mentor analysts, contribute to training, and support client engagements while maintaining up-to-date knowledge of federal securities laws and industry best practices.

Qualifications

• Bachelor’s degree in a relevant field.
• At least three years of regulatory compliance experience.
• Working knowledge of federal securities laws and related rules.

Responsibilities

• Build and maintain strong client relationships, advising on compliance requirements and service delivery.
• Oversee personal trading surveillance programs and related reviews using ComplianceAlpha.
• Manage broker feed reviews, exception reporting, and disclosure/certification processes.
• Lead client discussions on outside activities, political contributions, gifts and entertainment, conflicts of interest.
• Review complex compliance issues and recommend corrective actions.
• Conduct reviews of books/records to assess regulatory compliance.
• Design questionnaires, attestations, and disclosures for client programs.
• Prepare and present reports and trends to clients and stakeholders.
• Mentor analysts on regulations, policies, and Code of Ethics matters.
• Support and lead managed services projects with supervisors and account owners.
• Develop internal knowledge resources and contribute to training.
• Assist with thought leadership, business development, and marketing initiatives.

Skills

Regulatory compliance

Client relationship management

Regulatory reporting

Training and mentoring

Education

Bachelor’s degree

Tools

ComplianceAlpha

Microsoft Office

Job description

ACA Group in New York is seeking a Compliance Consultant to support supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings. You will administer personal trading surveillance programs, employee certifications, disclosures, and other compliance requirements.

You'll mentor analysts, contribute to training, and support client engagements while maintaining up-to-date knowledge of federal securities laws and industry best practices.