FINRA Analyst

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 :

This position works with relationship managers, account owners, and engagement leads

to provide regulatory consulting services to broker dealers and other firms in the investment industry. Analysts are expected to proceed through the Analyst Training Program to gain industry and relevant knowledge to provide consulting services.

What you'll do :

• Work with clients to prepare accounting entries in compliance with FINRA requirements.
• Prepare preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables as required by FINRA rules and client specifications.
• Research novel or complex compliance issues.
• Participate in the Analyst Training Program via the Learning Management System's courses / curriculums, supervisor instruction, other knowledge sharing training opportunities, and completion of topical tests and case studies.
• Perform other ad-hoc work / special projects as necessary to support ACA on various client and internal initiatives.

Ideally, you will also have :

Skills and attributes for success :

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

Show more

Show less

Skills Required

Accounting, Microsoft Office Applications