Sr. Compliance Analyst, Wealth Management

About the position The individual in this position is responsible for participating in wealth management compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing general compliance assistance and advice to clients including those that advise individual and institutional clients. The individual in this position is also responsible for the development of client relationships and identifying opportunities for new business development. Responsibilities • Lead or assist in all aspects of compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports). • Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, and answering compliance-related questions from clients). • Support or manage high volume of assigned client relationships, including addressing questions and needs. • Provide support for ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales, conducting research on compliance issues, drafting or assisting with internal or client training and/or presentations). • Perform ad-hoc work/special projects as necessary to support senior team members on various client and internal initiatives. Requirements • Bachelor’s degree. • At least 2 years of industry experience. Alternatively, at least 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). Nice-to-haves • Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred. Benefits • We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. • Our Total Rewards package includes medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. • You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. • We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance. Apply tot his job Apply tot his job

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