Regulatory Compliance Advisor (Hybrid)

ACA Group; Durham (NC); Hybride; USD 70 000 - 95 000; Plein temps

Avantages offerts par ce poste

Medical and dental coverage

401(k) plans

Paid time off options

Flexible work environment

ACA Paid Holidays

Summer Fridays

Personal/Family Care

Student Debt Forgiveness

Pet Insurance

Résumé du poste

ACA Group is seeking a compliance professional to administer client relationships and support regulatory consulting for investment advisory clients. The role collaborates with the Chief Compliance Officer to coordinate compliance program reviews and develop reports, policies, and manuals promoting regulatory adherence.

The position involves on-site and remote work with occasional travel, delivering guidance across departments to ensure timely regulatory responses and client support.

Qualifications

• 2 years of industry experience.
• Knowledge of federal securities laws (e.g., Investment Advisers Act of 1940 and the Investment Company Act of 1940).

Responsabilités

• Administer client relationships and provide a superior client experience.
• Provide regulatory consulting services, including drafting filings and training on regulatory topics.
• Assist compliance program reviews (document requests, reviews, interviews, reports).
• Coordinate regular compliance meetings with clients.
• Support ACA initiatives with ad-hoc projects and occasional onsite work.
• Conduct mock SEC examinations and other compliance testing engagements.

Connaissances

Client relations

Regulatory knowledge

Communication

MS Office

Travel willingness

Formation

Bachelor's degree

Description du poste

ACA Group is seeking a compliance professional to administer client relationships and support regulatory consulting for investment advisory clients. The role collaborates with the Chief Compliance Officer to coordinate compliance program reviews and develop reports, policies, and manuals promoting regulatory adherence.

The position involves on-site and remote work with occasional travel, delivering guidance across departments to ensure timely regulatory responses and client support.