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

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 (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
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

Senior Compliance Analyst, Anti-Money Laundering

Key skills