ACA Group · 4 hours ago
Sr. Compliance Analyst, Wealth Management
Portland, ME
Full-time
Hybrid
Mid, Senior Level
1+ years expACA Group is the leading governance, risk, and compliance advisor in financial services. They are seeking a Sr. Compliance Analyst to participate in wealth management compliance program reviews, assist with policy and procedure reviews, and provide compliance assistance and advice to clients.
ConsultingCyber SecurityFinancial Services
Responsibilities
Support more senior consulting staff during on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagements
Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverable
Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagements
Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables
Maintain internal knowledge resources, such as databases of inspection report comments
Research novel or complex compliance issues
Perform email surveillance reviews and other forensic reviews of books and records of clients
Participate in the Analyst Training Program via the Learning Management System’s courses/curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion of topical tests and case studies
Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives
Qualification
Required
Bachelor's degree
At least 18 months - 2 years of relevant industry experience. Alternatively, at least 1- 2 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organization comparable to ACA
General working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder relevant to the role (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974)
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 individual and small team environment
Ability to establish and maintain effective working relationships with colleagues and clients
Highly motivated and goal-oriented; proactive 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 comfortable working in a tech-enabled environment. Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
Willingness to travel, as needed
Preferred
Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred
Benefits
Medical and dental coverage
401(k) plans
Paid time off options
Designated ACA Paid Holidays
Summer Fridays
Personal/Family Care
Student Debt Forgiveness
Pet Insurance
Company
ACA Group
ACA Group is the leading governance, risk, and compliance advisor to the financial services industry.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Patrick Olson
Chief Executive Officer
Michael Borts, CISM, CDPSE
Chief Technology Officer
Recent News
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