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Compliance Analyst at ACA Compliance Group

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Employer: ACA Compliance Group

Expires: 04/30/2020

OverviewCompliance Analysts assist ACA consultants in providing regulatory consulting services to investment advisers and other firms in the investment industry.ResponsibilitiesSupporting consultants during on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagementsPreparing preliminary drafts of reports, matrices, policies and procedures, and other written client deliverablesMaintaining internal knowledge resources, such as databases of inspection report commentsParticipating in professional development activities, such as ACA’s internal training program for analystsResearching novel or complex compliance issuesPerforming email surveillance reviewsPerforming other ad-hoc work/special projects as necessary to support ACA on various client and internal initiativesQualificationsDemonstrates professional integrityDependable, flexible and adaptable to changing client needs and ACA initiativesAbility to work well in a fast paced, small team environmentMust be able to work independently, multi-task and prioritize effectivelyStrong organizational and problem-solving skills with attention to detail 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 tasksDedicated to upholding ACA’s high quality standards and customer service focusAbility to establish and maintain effective working relationships with employees and clientsStrong oral and written communication skillsStrong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clientsProficient with Microsoft Office applications, Adobe Acrobat, and the InternetBachelor’s Degree required – concentration or previous work experience in business, accounting, finance, criminal justice, law, or economics requiredWillingness to travel outside of the office – 50 percentACA is an equal opportunity employer and does not unlawfully discriminate against current or prospective employees on the basis of race, color, religion, sex, age, national origin, pregnancy, familial status, marital status, sexual orientation, gender identity, disability, veteran status, citizenship, ancestry, genetic information, or any other characteristics prohibited by law.