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- Tasks: Join our Managed Services team as a Compliance Analyst, ensuring compliance reviews and consulting work for clients.
- Company: ACA Group is a leading governance, risk, and compliance advisor in financial services.
- Benefits: Enjoy competitive pay, annual bonuses, private medical insurance, and up to 26 days of holiday.
- Why this job: Be part of a dynamic team, enhance your skills, and make a real impact in the financial sector.
- Qualifications: 2 years in financial compliance preferred; strong communication and organisational skills required.
- Other info: Work remotely or from any office while adapting to Pacific Standard Time hours.
The predicted salary is between 32000 - 48000 ÂŁ per year.
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The Opportunity:
In the role of the Compliance Analyst on our Managed Services team, you will be responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA Group (“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. This position may be based at any of our office locations, however, will be required to work Pacific Standard Time (PST) hours
The Opportunity:
In the role of the Compliance Analyst on our Managed Services team, you will be responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA Group (“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. This position may be based at any of our office locations, however, will be required to work Pacific Standard Time (PST) hours
What you’ll do:
- Assisting in the execution of assigned registrations
- Assisting in the preparation and completion of questionnaires and filings that support the development of key deliverables (e.g., Form ADV Disclosure Brochures and Brochure Supplements, etc.)
- Providing administrative support services to compliance consultants and clients
- Processing IARD/CRD regulatory filings
- Assisting in the preparation of regulatory documents such as Form ADV, Form U4/U5, and additional application materials/documentation
- Researching SEC and/or state rules and regulations and communicating guidance to clients
- Corresponding with securities regulators to research regulatory requirements
- Preparing response letters to state and federal examiners on behalf of clients
- Maintaining firm records (calendars, project workflows and status updates), time tracking and time reporting
- Assisting clients with compliance questions and other needs
- Assisting in enhancing internal workflow and processes
- Planning and organizing priorities while maintaining highest level of service to clients
- Multitasking and managing multiple projects within deadlines
- Conducts self in a professional manner
- Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
- Other tasks and duties as assigned
To qualify for the role you must have:
- 2 years of relevant experience in financial compliance or other regulatory services
- Experience with IARD/CRD systems preferred
- Associate’s degree or higher in a related field preferred
- Strong written communication and oral communication skills
- Strong relationship management skills
- Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
- Customer-focused attitude
- Time management and organization skills with a strong attention to detail
- Ability to work both independently and as part of a team
- Some knowledge of the investment management industry and related securities laws, especially the Investment Advisers Act of 1940, preferred
Skills and attributes for success:
- Ability to exercise discretion and make independent judgments on matters of significance
- Demonstrated professional integrity
- Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
- Ability to work well in a fast-paced, small-team environment
- Ability to work independently, multi-task and prioritize effectively
- 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 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
Ideally, you’ll also have:
- Background in law, banking, or writing a plus
- 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
- Ability to establish and maintain effective working relationships with employees and clients
- Strong oral and written communication skills
- Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients
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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Compliance Analyst, Filings- UK employer: ACA Group
Contact Detail:
ACA Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst, Filings- UK
✨Tip Number 1
Familiarise yourself with the IARD/CRD systems, as experience with these is preferred for the Compliance Analyst role. Understanding how these systems work will not only help you in the application process but also give you a head start if you land an interview.
✨Tip Number 2
Brush up on your knowledge of the Investment Advisers Act of 1940 and other relevant securities laws. Being able to discuss these regulations confidently during interviews will demonstrate your commitment and understanding of the compliance landscape.
✨Tip Number 3
Network with professionals in the compliance field, especially those who have experience in financial services. Engaging with industry experts can provide valuable insights and potentially lead to referrals that could enhance your chances of getting noticed by ACA Group.
✨Tip Number 4
Prepare to showcase your organisational and multitasking skills during the interview. The role requires managing multiple projects within deadlines, so be ready to discuss examples from your past experiences where you've successfully juggled various tasks.
We think you need these skills to ace Compliance Analyst, Filings- UK
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in financial compliance and regulatory services. Emphasise any specific projects or roles that align with the responsibilities of a Compliance Analyst at ACA Group.
Craft a Strong Cover Letter: Write a cover letter that showcases your understanding of the investment management industry and your ability to conduct compliance reviews. Mention your strong written communication skills and how they will benefit ACA Group.
Highlight Relevant Skills: In your application, clearly outline your skills related to time management, organisation, and attention to detail. These are crucial for managing multiple projects and meeting deadlines in this role.
Showcase Your Initiative: Demonstrate your proactive attitude by including examples of how you've taken initiative in previous roles. This could be through volunteering for additional tasks or contributing to process improvements.
How to prepare for a job interview at ACA Group
✨Understand the Role
Make sure you thoroughly understand the responsibilities of a Compliance Analyst. Familiarise yourself with compliance reviews, regulatory filings, and the specific requirements of the role at ACA Group. This will help you answer questions confidently and demonstrate your interest in the position.
✨Showcase Your Analytical Skills
Since the role involves careful analysis of clients' books and records, be prepared to discuss your analytical skills. Provide examples from your past experience where you've successfully identified regulatory deficiencies or improved compliance processes.
✨Prepare for Technical Questions
Brush up on your knowledge of IARD/CRD systems and relevant regulations like the Investment Advisers Act of 1940. Be ready to answer technical questions that may arise during the interview, as this will show your expertise and readiness for the role.
✨Demonstrate Strong Communication Skills
As a Compliance Analyst, you'll need to communicate findings clearly to clients and colleagues. Practice articulating your thoughts and summarising complex information succinctly. This will help you stand out as a candidate who can effectively convey important compliance information.
