Regulatory Compliance Consultant - Ethics & Risk

ACA Group; Medford (OR); Vor Ort; USD 70.000 - 85.000; Vollzeit

Benefits dieser Stelle

Medical and dental coverage

401(k) plan

Paid time off

Flexible work environment

Student debt forgiveness

Pet insurance

Summer Fridays

Zusammenfassung

ACA Group in Medford, OR is seeking a regulatory compliance professional to support supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings and related programs, including surveillance, certifications, disclosures, and risk assessments.

You will train analysts, mentor staff, lead client discussions, review regulatory issues, and contribute to thought leadership and business development while staying current with federal securities

Qualifikationen

• Bachelor’s degree required.
• At least three years in regulatory compliance; or at least 2 years with experience at a regulator or analytics role as described.
• Knowledge of federal securities laws and related regulatory frameworks (Investments Advisers/Company Act, Securities Exchange Act, Commodity Acts).

Aufgaben

• Build and maintain strong client relationships and guide on compliance requirements, onboarding, scope, workflows, budgets, and service delivery.
• Oversee personal trading surveillance programs and compliance monitoring activities.
• Lead client discussions on outside activities, political contributions, gifts, conflicts of interest, and Code of Ethics matters.
• Review complex regulatory issues and propose corrective actions; conduct books-and-records reviews for compliance.
• Design and manage questionnaires, disclosures, attestations, and related processes for client programs.
• Prepare and present reports, findings, trends, and recommendations to clients and internal stakeholders.
• Mentor analysts and staff on regulations, policies, and Code of Ethics compliance.
• Support managed services projects and contribute to training and development initiatives.

Kenntnisse

Professional integrity

Client relationship building

Communication skills

Analytical thinking

Microsoft Office proficiency

Ausbildung

Bachelor's degree

Tools

ComplianceAlpha

Other compliance tech

Jobbeschreibung

ACA Group in Medford, OR is seeking a regulatory compliance professional to support supervisors, relationship managers, account owners, and engagement leads in delivering ACA's Code of Ethics offerings and related programs, including surveillance, certifications, disclosures, and risk assessments.

You will train analysts, mentor staff, lead client discussions, review regulatory issues, and contribute to thought leadership and business development while staying current with federal securities