ACA Group · 1 day ago
Sr. Compliance Analyst, Wealth Management
Medford, OR
Full-time
Hybrid
Mid, Senior Level
2+ years expACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. The Sr. Compliance Analyst in Wealth Management will participate in compliance program reviews, assist with policy reviews, draft compliance reports, and develop client relationships while providing regulatory consulting services.
ConsultingCyber SecurityFinancial Services
Responsibilities
Lead or assist in all aspects of compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports)
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 high volume of assigned client relationships, including addressing questions and needs
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 senior team members on various client and internal initiatives
Qualification
Required
Bachelor's degree
At least 2 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
Willingness to travel, as needed
Preferred
Major or concentration in compliance, 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
Leaves of absence
Student Debt Forgiveness
Pet Insurance
Company
ACA Group
ACA Group is the leading governance, risk, and compliance advisor to the financial services industry.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Patrick Olson
Chief Executive Officer
Michael Borts, CISM, CDPSE
Chief Technology Officer
Recent News
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2025-09-19
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