Lead Risk and Compliance training initiatives at USAA, focusing on regulatory compliance. Drive effective learning programs and assess training needs within a complex environment.
About the role
- Senior Compliance Analyst supporting ACA with regulatory filings, reviews, and compliance-related tasks. Collaborating with internal and external stakeholders to ensure service quality and regulatory adherence.
Responsibilities
- Assist with ACA service offerings including regulatory filings, expert network chaperoning, anti-money laundering support, reviews of electronic communications, code of ethics, and marketing
- Analyze clients’ records for potential regulatory issues
- Plan upcoming reviews and participate in client calls
- Draft reports summarizing ACA’s reviews
- Oversee managed services engagements
- Participate in analyst training and career development
- Support ACA’s initiatives including analyst training, public speaking engagements, and client interactions
Requirements
- Bachelor’s degree
- At least 1 year of experience, including:
- (i) an examiner or attorney with regulatory authorities (SEC, NFA, CFTC, FINRA)
- (ii) a compliance analyst or consultant
- General working knowledge of federal securities laws and associated rules
- Ideally, 1-year financial service or relevant regulatory compliance experience
- Major in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred
Benefits
- Competitive compensation package
- Medical and dental coverage
- 401(k) plans
- Paid time off options
- Flexible work environment
- ACA Paid Holidays
- Summer Fridays
- Personal/Family Care leave
- Student Debt Forgiveness
- Pet Insurance
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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