Compliance Manager (Testing)

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.

The Opportunity:
 

As a Supervisor for ACA's Testing Team, you will play a pivotal role in overseeing the successful execution of compliance reviews and consulting work conducted by ACA Compliance Group (“ACA”) for clients. Your primary responsibility will be to supervise analysts who are conducting the testing process, analyzing clients’ books and records for potential regulatory deficiencies, and communicating findings and recommendations. You may also participate in the testing process to ensure the efficacy of clients’ regulatory compliance programs, implemented pursuant to the Investment Advisers Act of 1940 and other federal securities laws.

What you’ll do:
 

Primary Ongoing Responsibilities:

• Supervise Testing Analysts:

  • Oversee the workflow and execution of clients’ compliance program testing.

  • Ensure the utilization of ACA’s suite of RegTech products throughout the testing process.

  • Maintain and update internal knowledge resources.

  • Solicit and deliver performance feedback.

  • Guide career development.

  • May also:

    • Review and approve the analyses of clients’ regulatory compliance policies and procedures.

    • Provide guidance on researching novel and/or complex compliance issues.
       

• Support and Training:

  • Provide training and mentorship to Testing Analysts.

  • Develop and implement training programs to enhance the team’s knowledge and skills.

  • May also:

    • Ensure the team stays current with regulations, best practices, and the nuances of the products and services they handle.
       

Additional Responsibilities May Include:
 

• Quality Control:

  • Conduct quality control of the testing performed by analysts to ensure accuracy and compliance with regulatory requirements.

  • Analyze clients’ books and records to identify potential regulatory deficiencies.

  • Communicate findings and recommendations to Project Managers.

• Assist with other ACA service offerings, as needed, including, but not limited to:

  • Regulatory filings

  • Expert network call chaperoning

  • Anti-money laundering & KYC/CIP testing

  • Electronic communications surveillance reviews

  • Online presence (social media) reviews

  • Marketing material reviews

Ideally, you will have:
 

• Bachelor's Degree

• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.

• 6-10yrs of an experience and 2 yrs in Supervisory Experience

Skills and attributes for success:
 

• Strong English skills – spoken, reading, and writing.

• 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 consulting staff.

• Ability to work independently, multi-task, and prioritize effectively, including managing multiple projects with competing deadlines.

• 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.

• Ability to become familiar with the Investment Advisers Act of 1940, along with other federal securities laws, rules, and regulatory guidance.

• Ability to become familiar with, and proficient in utilizing, ACA’s suite of internal and client-facing RegTech products.

• Strong analytical skills, including the ability to interpret complicated and nuanced documents, along with applicable laws, rules, and regulatory guidance.

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 coverage fully funded by ACA for employees and their families, as well as access to Maternity & Fertility and Wellness programs. ACA also provides Personal Accident Insurance, Group Term Life Insurance, Employee Discount programs, and Employee Resource Groups. You’ll be granted time off for designated ACA Paid Holidays, Privilege Leave, Casual/Sick Leave, and other leaves of absence to support your physical, financial, and emotional well-being.

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, protected veteran status, or any other legally protected status.