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ACA Compliance Group

Compliance Analyst

Early Applicant
  • 1 months ago
  • Be among the first 50 applicants

Job Description

This position works with relationship managers, account owners, and engagement leads
to provide regulatory consulting services to broker dealers and other firms in the investment industry. Analysts are expected to proceed through the Analyst Training Program to gain industry and relevant knowledge to provide consulting services.

What you ll do:

  • Work with clients to prepare accounting entries in compliance with FINRA requirements.
  • Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables as required by FINRA rules and client specifications.
  • Research novel or complex compliance issues.
  • Participate in the Analyst Training Program via the Learning Management System s courses/curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion of topical tests and case studies.
  • Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives.

Ideally, you will also have:
  • Major or concentration in business, accounting, finance, and/or economics preferred.
  • Bachelor s degree.

Skills and attributes for success:
  • Demonstrated professional integrity.
  • Strong spoken and written English communication skills
  • Background or experience in accounting
  • 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 consulting staff.
  • Highly motivated and goal oriented; pro-active 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.

More Info

Industry:Other

Job Type:Permanent Job

Skills Required

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Date Posted: 09/10/2024

Job ID: 95722235

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