Staff Compliance Consultant

The Opportunity:

The individual in this position is responsible for supporting Account Owners, participating in and taking a degree of ownership for all aspects of on-going compliance support relationships and projects. This could include FCA mock reviews, regulatory health checks and compliance assurance reviews. The individual will deliver reports of findings and recommendations from those reviews and will be responsible for drafting and/or overseeing the drafting of policies and procedures that promote compliance with regulatory requirements. A key part of the role includes providing timely assistance and advice to clients as required and assisting in managing client relationships from a day-to-day delivery standpoint. An individual in this position will also play a role in the progression and oversight of compliance analysts.

What you’ll do:

• Assist in managing the delivery of FCA-compliance reviews and other regulatory projects (e.g., reviewing documents, assisting with the conduct of interviews, and drafting reports). May undertake client secondments.
• Provide regulatory consulting services to clients as needed (e.g. creating drafts of and assisting clients with the submission of non-financial regulatory filings, conducting (or assisting with) the conduct of compliance monitoring, reviewing policies, procedures, marketing materials and other compliance documents and providing tailored compliance advice).
• Demonstrating a degree of commercial awareness such that additional ACA Group services can be promoted for the benefit of clients where appropriate (via discussion with applicable account owners and/or referrals to dedicated sales representatives).
• Support or manage assigned client relationships, including responding to clients’ questions and needs in a timely and pragmatic manner. Where requested supervise, train, evaluate, oversee, and/or provide feedback to Analysts/Senior Analysts.
• Provide support for ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct research on compliance issues, draft or assist with internal or client training and/or presentations, active participation in Key Regulatory Initiatives).

To qualify for the role you must have:

• Strong academic background (i.e. degree level or recognized professional qualification).
• At least 4 years of industry experience. Alternatively, at least 2 years’ experience that includes some combination of the following: (i) employment with the Financial Conduct Authority or (ii) a Compliance Analyst/Sr. Analyst with ACA or an equivalent role with a consulting organisation comparable to ACA.
• Strong working knowledge of the Financial Services and Markets Act 2000 (as amended), the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance.

Ideally, you’ll also have:

• Investment Management Certificate, CISI Diploma in Investment Compliance or similar.

Skills and attributes for success:

• Demonstrated professional integrity.
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
• Ability to exercise discretion and make independent judgments commensurate with role.
• 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.
• 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.

Preferred Licenses and Certification(s):

• Will be required to undertake either the Investment Management Certificate or the CISI Diploma in Investment Compliance.

Supervisory Duties Summary

• Supervise, train, evaluate, oversee, and provide feedback to junior colleagues

What working at ACA offers:

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

About ACA:

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

What we commit to:

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.