Senior Compliance Analyst (MS), Anti-Money Laundering (AML)

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services, and they are seeking a Senior Compliance Analyst to support various compliance-related services. The role involves assisting with regulatory filings, anti-money laundering support, and electronic communication reviews while ensuring compliance with relevant regulations and maintaining client relationships.

Responsibilities

• Assist with ACA service offerings including, but not limited to:
• Regulatory filings
• Expert network chaperoning
• Anti-money laundering support
• Electronic communication review
• Code of ethics and personal trading reviews
• Marketing review
• Analyze clients’ books and records for potential regulatory issues
• Interpret complicated and nuanced documents to identify potential regulatory risks
• Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to understand project scope and applicable regulatory risks
• Draft reports for clients summarizing ACA’s review and any findings from such reviews
• Assist with oversight of certain managed services client engagements to ensure contractual obligations are met
• Participate in training and career development via assigned courses/curriculums, supervisor instruction, and other training opportunities
• Maintain internal knowledge resources
• Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to:
• Analyst training
• Public speaking engagements
• Attend conferences and roundtable events
• Onsite client engagements

Skills

• Bachelor's degree
• At least 1 year of KYC investor onboarding experience
• General working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (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)
• 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
• 1-year financial service experience or relevant regulatory compliance experience
• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred

Benefits

• Medical and dental coverage
• 401(k) plans
• Paid time off options
• Designated ACA Paid Holidays
• Summer Fridays
• Personal/Family Care
• Other leaves of absence
• Student Debt Forgiveness
• Pet Insurance

Company Overview

• ACA Group is the leading governance, risk, and compliance advisor to the financial services industry. It was founded in 2002, and is headquartered in Newyork, Argyll and Bute, GBR, with a workforce of 1001-5000 employees. Its website is https://acacompliancegroup.com/.