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ACA Group · 4 hours ago

Consultant/Wealth Management Compliance

Medford, OR

Full-time

Hybrid

Mid, Senior Level

4+ years exp

ACA Group is the leading governance, risk, and compliance advisor in financial services. The individual in this position is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, and providing compliance assistance and advice to clients.

ConsultingCyber SecurityFinancial Services

Responsibilities

Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports)

Perform a broad scope of work during reviews of clients of varying complexity, and coordinate and consolidate the work of colleagues during these reviews

Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, and answering compliance-related questions from clients)

Support or manage assigned client relationships, including addressing questions and needs

Supervise, train, evaluate, oversee, and/or provide feedback to junior staff, as assigned

Provide support for ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales, conducting research on compliance issues, drafting or assisting with internal or client training and/or presentations)

Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives

Qualification

Regulatory complianceFederal securities lawsClient relationship managementCompliance program reviewsMicrosoft Office proficiencyCommunication skillsOrganizational skillsProblem-solving skills

Required

Bachelor's degree

At least 4 years of industry experience. Alternatively, at least 2 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organization comparable to ACA

General working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder relevant to the role (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 individual and small team environment

Ability to establish and maintain effective working relationships with colleagues and clients

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

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. Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions

Willing to travel