United States onlyThe Opportunity:
The Compliance Analyst on our Outsourced Marketing Review team is responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA for clients. The individual in this position will conduct careful analyses of clients’ marketing materials regulatory deficiencies, as well as draft reports, prepare documents, and summarize findings for clients. They are strongly encouraged to utilize additional training and development resources available to continue their development.
What you’ll do:
- Assist with ACA service offerings regarding marketing review.
- Analyze clients’ books and records for potential regulatory issues.
- Interpret complicated and nuanced documents that may pose regulatory risks.
- Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to resolve any issues.
- Draft reports for clients summarizing ACA’s review and any findings from such reviews.
- Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives, including but not limited to: Analyst training, public speaking engagements, and attending conferences and roundtable events.
To qualify for the role you must have:
- Bachelor’s degree
Ideally, you’ll also have:
- Professional experience or educational concentration in business, accounting, finance, or economics
Skills and attributes for success:
- Demonstrated professional integrity
- Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
- Ability to exercise discretion and make independent judgments on matters of significance
- Ability to work in a fast-paced small team environment
- Ability to establish and maintain effective working relationships with colleagues and clients
- Highly motivated and goal oriented; pro-active in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
- Dedicated to upholding ACA’s high-quality standards and customer service focus
- Strong organizational and problem-solving skills with attention to detail
- Strong oral and written communication skills
- Proficient with Microsoft Office applications and Adobe Acrobat
Preferred Licenses and Certification(s)
- FINRA Series 7 & 24 licenses preferred
What working at ACA offers:
We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.
About ACA:
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
What we commit to:
ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.
