Adviser Compliance Associates LLC Compliance Analyst - Broker Dealer in New York, New York
This position works with relationship managers, account owners, and engagement leads to provide regulatory consulting services to broker-dealers and other firms in the financial industry. Analysts are expected to proceed through the Analyst Training Program to gain industry and relevant knowledge to provide consulting services.
What you'll do:
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.
Study for and pass the FINRA Securities Industry Essentials ("SIE") Exam and Certified Anti-Money
Laundering Specialist (CAMS) Certification.
Participate in the Analyst Training Program via the Learning Management System's courses/curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion 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:
Ideally, you will also have:
Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.
Prior financial industry experience.
Completion of CAMS certification or equivalent, or other measurable demonstration of industry fundamental knowledge as deemed comparable at management's discretion.
Skills and attributes for success:
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
Willing to travel
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 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.