Senior Compliance Analyst (MS), Regulatory Filings

The Opportunity:

The individual in this position is responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA for clients. The individual in this position will conduct careful analyses of clients’ books and records for potential regulatory deficiencies, as well as draft reports, prepare documents, and summarize findings for clients. They are strongly encouraged to utilize additional training and development resources available to continue their development.

What you’ll do:

• 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
• 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
  • Attend conferences and roundtable events
  • Assist with customized client engagements

To qualify for the role you must have:

• Strong academic background (i.e. degree level or recognized professional qualification)

Ideally, you’ll also have:

• 2 – 3 years of relevant financial services experience and/or knowledge of the UK regulatory regime, such as the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directive, the Alternative Investment Funds Managers Directive, and other applicable FCA rules and guidance.

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; proactive 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.

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 an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering.

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.

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