Senior Compliance Consultant, Ethics & Risk

ACA Group; Rutherford (NJ); 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

Flexible work environment

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group in Rutherford, NJ seeks a Regulatory Compliance Consultant to support supervisors, relationship managers, account owners and engagement leads in delivering ACA's Code of Ethics offerings.

You will administer and oversee personal trading surveillance programs, employee certifications, gifts and entertainment reviews, outside business activity disclosures, political contribution monitoring, conflicts of interest assessments, and other employee compliance requirements while mentoring

Qualifications

• Bachelor’s degree required.
• At least three years of regulatory compliance experience in financial services or related role; or at least 2 years with related regulatory exposure (SEC, NFA, CFTC, FINRA) or data analytics experience.
• Strong knowledge of federal securities laws and related rules and positions.

Responsibilities

• Build and maintain strong client relationships and provide guidance on compliance requirements and service delivery.
• Oversee personal trading surveillance programs and other program components.
• Lead reviews of outside business activities, gifts, and conflicts of interest.
• Conduct regulatory risk assessments and recommend corrective actions.
• Prepare and present reports and trends to clients and internal stakeholders.
• Mentor analysts and support knowledge sharing and training initiatives.
• Support business development, thought leadership, and client engagement activities.

Skills

Client relationships

Regulatory compliance

Regulatory knowledge

Communication skills

Mentoring

GRC awareness

Project management

Team leadership

Attention to detail

Education

Bachelor’s degree

Job description

ACA Group in Rutherford, NJ seeks a Regulatory Compliance Consultant to support supervisors, relationship managers, account owners and engagement leads in delivering ACA's Code of Ethics offerings.

You will administer and oversee personal trading surveillance programs, employee certifications, gifts and entertainment reviews, outside business activity disclosures, political contribution monitoring, conflicts of interest assessments, and other employee compliance requirements while mentoring