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ACA Group · 7 hours ago

Senior Compliance Analyst (MS), Anti-Money Laundering (AML)

Oregon, United States

Full-time

Onsite

Mid, Senior Level

1+ years exp

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services, and they are seeking a Senior Compliance Analyst to support various compliance-related services. The role involves assisting with regulatory filings, anti-money laundering support, and electronic communication reviews while ensuring compliance with relevant regulations and maintaining client relationships.

ConsultingCyber SecurityFinancial Services

Responsibilities

Assist with ACA service offerings including, but not limited to:

Regulatory filings

Expert network chaperoning

Anti-money laundering support

Electronic communication review

Code of ethics and personal trading reviews

Marketing review

Analyze clients’ books and records for potential regulatory issues

Interpret complicated and nuanced documents to identify potential 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 understand project scope and applicable regulatory risks

Draft reports for clients summarizing ACA’s review and any findings from such reviews

Assist with oversight of certain managed services client engagements to ensure contractual obligations are met

Participate in training and career development via assigned courses/curriculums, supervisor instruction, and other training opportunities

Maintain internal knowledge resources

Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to:

Analyst training

Public speaking engagements

Attend conferences and roundtable events

Onsite client engagements

Qualification

KYC investor onboardingRegulatory compliance knowledgeFederal securities lawsMicrosoft Office proficiencyProfessional integrityCommunication skillsOrganizational skillsProblem-solving skillsTeamworkAdaptability

Required

Bachelor's degree

At least 1 year of KYC investor onboarding experience

General working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (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, 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 comfortable working in a tech enabled environment