Adviser Compliance Associates LLC Broker Dealer Compliance Analyst in New York, New York
As a Compliance Analyst you will be responsible for activelyparticipating with ACA Consultants to provide regulatory consulting services to broker-dealers.
ACA's Regulatory Compliance practice provides consulting, advisory, and managed services solutions to our clients in the financial services sector. As trusted advisors, our team plays an integral role in helping our clients comply with their regulatory obligations, meet the expectations of their investors, and apply leading industry practices and technology.
What you'll do:
Assist with FINRA new membership and continuing membership applications.
Conduct on-site and off-site FINRA supervisory compliance program reviews, AML testing, branch office inspections and other consulting engagements. Assist with FINRA new membership and continuing membership applications.
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.
Participate in the Analyst Training Programvia the Learning Management System's courses/curriculums, supervisor instruction,otherknowledge sharing training opportunities, andcompletion of topical tests and case studies.
Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives.
To qualify for the role, you must have:
At least one year's experience working at a financial institution.
Skills and attributes for success:
Strong written and verbal communication, client service and reporting skills.
Adaptable to new initiatives and ever-changing client needs.
Ability to work well in a fast-paced environment and able to collaborate with multiple colleagues/groups to deliver on hiring needs.
Strong organizational and problem-solving skills with attention to detail
Proficient with Microsoft Office applications and comfortable working in a tech enabled environment.
Willingness to travel as needed.
Ideally, you'll also have:
Bachelor's Degree - preferred major or concentration in business, law, or finance.
Willingness to complete Certified Anti-Money Laundering Specialist (CAMS) certification.
What working at ACA offers:
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, pension 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.
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlphatechnology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
What we commit to:
ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.
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 non discrimination, 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 of our employees have an equal opportunity to contribute to ACA and feel that ACA is exactly where they belong.