Compliance Analyst participating in compliance reviews and consulting for ACA Group's clients, drafting reports and summarizing findings on regulatory deficiencies.
Responsibilities
Conduct compliance reviews and analyses of clients’ books and records
Draft reports and summarize findings for clients
Assist with regulatory filings, anti-money laundering, and electronic communication reviews
Participate in planning reviews and client calls
Review policies and procedures of Registered Investment Advisers
Requirements
Bachelor’s degree
Proficiency with Microsoft Office applications, Adobe Acrobat, and the Internet
Strong data analytical skills
Solid understanding of financial markets, financial products, investment advisors, and regulations
Ability to learn concepts quickly and apply knowledge to client reviews
Benefits
medical and dental coverage
401(k) plans
paid time off options
flexible work environment
ACA Paid Holidays
Summer Fridays
Personal/Family Care
leaves of absence for physical, financial, and emotional well-being
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