Regulatory Ethics & Compliance Consultant

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

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off options

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is seeking a compliant and collaborative professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, manage certifications, and oversee reviews of disclosures and outside activities.

The role includes mentoring junior staff and contributing to client engagements while staying current on evolving regulations.

Qualifications

• Bachelor’s degree in a relevant field.
• At least three years in regulatory compliance or related roles.
• Knowledge of U.S. federal securities laws and related rules is preferred.

Responsibilities

• Build and maintain strong client relationships, guiding on compliance requirements and service delivery.
• Manage implementation and oversight of personal trading surveillance programs and related reviews.
• Oversee monitoring activities, including broker feed reviews and compliance workflows.
• Lead discussions on outside business activity, political contributions, and gifts or entertainment in Code of Ethics matters.
• Review complex regulatory risks and deficiencies, and propose corrective actions.
• Conduct reviews of client books and records to assess regulatory compliance.
• Design questionnaires, attestations, disclosures, and related processes for client programs.
• Prepare and present reports, findings, and trends to clients and internal stakeholders.
• Mentor analysts on regulations, policies, and Code of Ethics compliance.
• Support managed services projects with supervisors and account owners.
• Develop internal knowledge resources and contribute to training and development initiatives.
• Support thought leadership, business development, and marketing events including conferences.
• Attend onsite client engagements and participate in ad-hoc projects as needed.

Skills

Regulatory compliance

Client relationships

Mentoring

Analytical thinking

Education

Bachelor’s degree

Job description

ACA Group is seeking a compliant and collaborative professional to support supervisors, relationship managers, and engagement leads in delivering Code of Ethics offerings. You will administer surveillance programs, manage certifications, and oversee reviews of disclosures and outside activities.

The role includes mentoring junior staff and contributing to client engagements while staying current on evolving regulations.