ACA Compliance Group Holdings, LLC

  • Compliance Analyst-IA

    Job Locations US-CA-El Segundo | US-NJ-Morristown
    Job ID
    Regular Full-Time
  • Overview

    Compliance Analysts assist ACA consultants in providing regulatory consulting services to investment advisers and other firms in the investment industry.


    • Supporting consultants during on-site and off-site mock SEC examinations, compliance program reviews, and other consulting engagements
    • Preparing preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables
    • Maintaining internal knowledge resources, such as databases of inspection report comments
    • Participating in professional development activities, such as ACA’s internal training program for analysts
    • Researching novel or complex compliance issues
    • Performing email surveillance reviews
    • Performing other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives


    • Bachelor’s Degree required – concentration or previous work experience in business, accounting, finance, criminal justice, law, or economics required
    • Demonstrates professional integrity
    • Dependable, flexible and adaptable to changing client needs and ACA initiatives
    • Ability to work well in a fast paced, small team environment
    • Must be able to work independently, multi-task and prioritize effectively
    • Strong organizational and problem-solving skills with attention to detail  
    • Highly motivated and goal oriented; proactive 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
    • Ability to establish and maintain effective working relationships with employees and clients
    • Strong oral and written communication skills
    • Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients
    • Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet
    • Willingness to travel outside of the office – 50 percent

    ACA is an equal opportunity employer and does not unlawfully discriminate against current or prospective employees on the basis of race, color, religion, sex, age, national origin, pregnancy, familial status, marital status, sexual orientation, gender identity, disability, veteran status, citizenship, ancestry, genetic information, or any other characteristics prohibited by law.


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