Compliance Analyst
ACA Group · New York City, New York, US
The Opportunity: This position works with relationship managers, account owners, and engagement leads to provide regulatory consulting services to investment...
Job description
The Opportunity: This position works with relationship managers, account owners, and engagement leads to provide regulatory consulting services to investment advisers and other firms in the investment 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 mock SEC examinations, compliance program reviews, and other consulting engagements. - 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 4. Research novel or complex compliance issues. - Perform email surveillance reviews and other forensic reviews of books and records of clients. - Study for and pass the FINRA Securities Industry Essentials (“SIE”) Exam. - 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 sup...