Due Diligence Senior Analyst

The Opportunity:  

This position will perform due diligence of investment products, product sponsors, and other entities serviced by ACA.

What you’ll do:  

• Conduct substantive due diligence of:

1. Investment products, including private placements and registered funds.
2. Sponsors of products, including officers and principals, as well as relevant policies and procedures.
3. And other entities, services and products, as required.

• Prepare comprehensive written analysis, summarizing due diligence findings and relevant issues. 3. Present findings to Company committees, as needed.
• Stay abreast of relevant industry issues.
• Serve as a resource to all broker-dealer personnel regarding due diligence matters.
• Maintain detailed knowledge base of all applicable industry regulations and best practices

To Qualify for the role, you will have:  

• Bachelor’s degree, preferably with an emphasis in finance or similar field.
• Minimum 2 years previous work experience with an asset management firm, investment bank or advisor, broker-dealer, hedge fund, financial regulator, or similar experience.
• Working knowledge of federal securities laws
• (Highly desired locations: NYC/Tri-state, Pittsburgh, Chattanooga, Portland, Boston, Chicago, Florida, San Francisco, Los Angeles, Dallas, or Houston)

Ideally you will have:

• FINRA licenses such as: SIE, Series 7, Series 24.
• Relevant industry certification(s) related demonstrating financial, diligence, and/or regulatory expertise. Examples include: CAIA, CAMS, CDDA, CIMA, FMVA, or IACCP.

Skills and attributes for success:

• Strong organizational and analytical skills
• Excellent written and verbal communication skills  
• Excellent project management skills
• Ability to prioritize and meet multiple deadlines
• Effective risk management skills and knowledge
• Ability to work independently under limited supervision, but also able work collaboratively as part of a team
• Attention to detail

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.