Compliance Analyst, Private Funds

ACA Group provides regulatory consulting services to investment advisers and other firms in the investment industry. The Compliance Analyst conducts examinations, compliance reviews, testing, surveillance and forensic reviews, and prepares written client deliverables while progressing through the Analyst Training Program.

Responsibilities

• Conduct on-site and off-site mock SEC examinations, compliance program reviews, and other consulting and testing 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. 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 support ACA on various client and internal initiatives including onsite client secondment work

Preferred

• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred
• Passing score on FINRA SIE Exam or equivalent, or other measurable demonstration of industry fundamental knowledge as deemed comparable at management's discretion
• Compliance
• Criminal Justice
• Law
• Accounting
• Finance
• Economics
• FINRA SIE Exam
• Industry Fundamentals Knowledge

Benefits

• Discretionary bonus
• Medical and dental coverage
• 401(k) plans
• A wide range of paid time off options
• A flexible work environment: New York Tri-State Area, two days per week in the office and three days remote
• ACA Paid Holidays
• Summer Fridays
• Personal/Family Care leave
• Other leaves of absence when needed to support your physical, financial, and emotional well-being
• Student Debt Forgiveness
• Pet Insurance

Company

• Governance, risk, and compliance advisory for financial services.
• New York, New York, USA
• https://foresides.com/
• Founded in 2002
• 1001-5000 employees

Qualifications

• Bachelor's degree
• 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 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
• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred
• Passing score on FINRA SIE Exam or equivalent, or other measurable demonstration of industry fundamental knowledge as deemed comparable at management's discretion

Required skills

• FINRA Securities Industry Essentials (SIE)

Experience

• Entry level