Key skills
Communication
About this role
Role Overview
- Participate in and ensure successful execution of compliance reviews and consulting work
- Conduct careful analyses of clients’ books and records for potential regulatory deficiencies
- Draft reports, prepare documents, and summarize findings for clients
- Assist with planning upcoming reviews, including participating in calls with clients, reviewing policies and procedures
- Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives
- Review the adequacy of the policies and procedures of Registered Investment Advisers
Requirements
- Bachelor’s degree
- Proficiency with Microsoft Office applications, Adobe Acrobat, and the Internet
- Strong oral and written communication skills
- Strong data analytical skills with the ability to exercise discretion and make independent judgments
- Proactive in own financial services compliance education and career development
- Solid understanding of financial markets, financial products, investment advisors, and regulations
- Ability to learn concepts and subject matter quickly and apply knowledge to client reviews
Benefits
- medical and dental coverage
- 401(k) plans
- paid time off options
- flexible work environment
- time off for designated ACA Paid Holidays
- Summer Fridays
- Personal/Family Care
- other leaves of absence when needed to support your physical, financial, and emotional well-being
- Student Debt Forgiveness
- Pet Insurance