Compliance Analyst

About ACA:
 

ACA is an equal opportunity employer that values diversity. We conduct our business without regard to actual or perceived age, race, color, religion, disability, caregiver, marital or partnership status, pregnancy (including childbirth, breastfeeding, or related medical conditions), ancestry, national origin and citizenship, sex, gender identity and expression, sexual orientation, sexual and reproductive health decisions, military or veteran status, creed, genetic predisposition, carrier status or any other category protected by federal, state and local law. 

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, recall, transfers, leaves of absence, compensation and all other terms and conditions of employment. 

Here at ACA, we have created a variety of programs to promote ACA’s culture of inclusivity and work hard to ensure that all our employees have an equal opportunity to contribute to ACA and feel that ACA is exactly where they belong. 

ACA was founded in 2002 by four former SEC regulators and one former state regulator. The founders saw a need for investment advisers to receive expert guidance on existing and new regulations. Over the years, ACA has grown both organically and by acquisition to expand our GRC business and technology solutions. Our services now include GIPS standards verification, cybersecurity and technology risk, regulatory technology, ESG advisory, AML and financial crimes, financial and regulatory reporting, and Mirabella for establishing EU operations.

Position Summary:

The Branch Office Compliance Associate provides administrative support for ACA’s US Reg Branch Office Inspection Program. The individual in this role is responsible for assisting with set up and workflow of branch office inspections.
 

Job Duties:
 

1. Provide operational support as assigned to facilitate team workflow.
2. Become a key resource and expert in navigating ACA proprietary technology (Compliance Alpha).
3. Analyze key information regarding branch offices that are to be inspected.
4. Assist with workflow management, workflow tracking, project set up and assignments, project hand-off, and troubleshooting.
5. Participate in drafting policies, procedures, and standards for the branch office inspection program.
6. Correspond with other ACA employees and clients regarding branch office inspection activities.
7. Assist in preparing reports, memos, and other documents as assigned.
8. Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives.

Required Education and Experience:
 

1. Experience performing administrative duties.
2. Familiarity with broker-dealer activities.

Preferred Education and Experience:
 

1. Bachelor’s Degree preferred.

2. 1-2 years of administrative support experience in a broker-dealer or similar financial institution.

Required Skills and Attributes:

1. Demonstrated professional integrity.
2. Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
3. Ability to exercise discretion and make independent judgments on matters of significance.
4. Ability to work in a fast-paced small team environment.
5. Ability to establish and maintain effective working relationships with colleagues and clients.
6. 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. 
7. Dedicated to upholding ACA’s high-quality standards and customer service focus.
8. Strong organizational and problem-solving skills with attention to detail.
9. Strong oral and written communication skills.
10. Proficient with Microsoft Office applications and comfortable working in a tech enabled environment.

Why join our team? 
 

We are the leading governance, risk, and compliance (GRC) advisor in financial services. When you join ACA, you'll become part of a team whose unique combination of talent includes the industry's largest team of former regulators, compliance professionals, legal professionals, and GIPS® standards verifiers in the industry, along with practitioners in cybersecurity, ESG, and regulatory technology.

Our team enjoys an entrepreneurial work environment by offering innovative and tailored solutions for our clients. We encourage creative thinking and making the most of your experience at ACA by offering multiple career paths. We foster a culture of growth by focusing on continuous learning through inquiry and curiosity, and transparency. If you’re ready to be part of an award-winning, global team of thoughtful, talented, and committed professionals, you’ve come to the right place.