ACA Group

Compliance

• Serve as the outsourced chief compliance officer for RIA compliance clients
• Lead a 3-person team to deliver compliance programs consistent with SEC regulatory requirements
• Provide clear, focused, and practical guidance to clients based on SEC regulations
• Conduct (scheduled and ad hoc) conference calls and online meetings with client executives
• Develop compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar)
• Liaise with Fund CCOs and compliance staff
• Conduct annual 206(4)-7 examinations
• Lead and coach clients through SEC regulatory exams
• Maintain firm records
• Assist clients with compliance questions and other needs
• Use creative thinking to brainstorm new services that add value to client relationships
• Produce and deliver externally focused compliance content (e.g. webinars, research notes, white papers)
• Attend conferences and meetings as requested
• Responsible for reporting to senior management
• Other tasks and projects as assigned

Senior Principal Consultant, Chief Compliance Officer

Customer Success Manager

• Develop a deep working relationship with key client contacts and technology project teams.
• Be able to convey client requirements to ACA’s Professional Services, Product Management, and Development teams.
• Problem solve and provide best practice framework on regulatory compliance/surveillance client needs.
• Provide support for key client projects that relate to the use of ComplianceAlpha.
• Become a trusted advisor to key client administrators and power users of ComplianceAlpha.
• Understand the business needs, client internal processes, product interests, and ComplianceAlpha capabilities to ensure clients are getting the most value from the platform.
• Analyze client issues and develop approaches to remediate them.
• Act as the main RegTech POC/Escalation point for the client throughout their lifecycle.
• Actively manage client communications to include new product releases, feature/functionality updates, release notes, and other adoption campaigns sent by Customer Success

Senior Customer Success Specialist, Surveillance

• Resolve customer service issues by answering questions or referring clients to appropriate technical support resources
• Update Customer Success development team on client technical problems or issues
• Provide client feedback to the customer experience team for product improvement
• Proactively contact clients to ensure software is used to its full potential
• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives

Customer Success Specialist

• Review clients’ policies and other documents for potential regulatory issues
• Assist with the scoping and planning of projects
• Conduct searches of electronic communications and analyze findings for regulatory and policy issues
• Document search results in ACA proprietary software
• Conduct online presence and social media reviews
• Draft reports for clients that summarize the scope of work and findings of each project
• Work under pressure and time constraints to ensure client deadlines are met
• Track progress of assignments using project management software tools
• Complete work independently within client and regulatory guidelines while also coordinating with a global service team to complete projects
• Perform other ad-hoc work and special projects as necessary to support ACA’s various client and internal initiatives

Compliance Analyst, MS

Cloud Engineer

• Design, implement, and maintain secure and fault tolerant infrastructure and cloud software environments while applying fundamental principles of the AWS Well Architected Framework
• Manage the immutable infrastructure via CDK written in TypeScript
• Operate the development tools, such as IDEs, test environments, code repositories, artifact hosting, test runners, and automated release processes to enable developers
• Oversee the deployment of servers, storage, databases, and other required infrastructure
• Help design, oversee, and test the disaster recovery and business continuity plans
• Participate on an agile team and work in the full development lifecycle
• Perform analysis, design, development, unit testing, code reviews and deployment of cloud infrastructure
• Participate in an on-call rotation
• Make pragmatic design and architectural decisions with security in mind
• Investigate and pinpoint defects, deficiencies, or service outages

Senior Cloud Engineer

Director

• Proactively direct all aspects of consulting work including leading project teams, preparing and presenting complex written and verbal materials, and defining resource requirements, project workflow, budgets, billing and collection.
• Dedicate time to coaching staff in their career and technical development, including in respect of client interactions and soft skills.
• Manage assigned client relationships and projects proactively (monitoring profitability and accounts receivable) where you are the designated account owner, including responding to clients’ questions and needs in a timely and pragmatic manner and ensuring that colleagues contributing to shared accounts do the same.
• Oversee the management of clients for which your supervisees are account owners offering a sounding board and troubleshooting capability.
• Demonstrating a commercial awareness such that additional ACA Group services can be promoted for the benefit of clients where appropriate (via referrals to dedicated sales representatives)
• Coordinate staffing for chaperoning calls and ensuring global coverage
• Manage day-to-day operations with a focus on execution and delivery
• Build clear processes and procedures to support operational efficiency
• Support product development by collaborating with development teams to convey needs and be the bridge between delivery and delivery enablement
• Lead a diverse global team, including training, development, and setting strategic direction
• Drive strategic initiatives and lay the foundation for a well-trained team
• Explore and implement AI solutions creatively to enhance operations
• Manage client expectations and work with strategic clients to balance delivery capabilities
• Predict staffing needs and balance workloads across managed services
• Adapt to fluctuating client needs and juggling multiple priorities
• Comfortable managing multiple initiatives while overseeing daily operations
• Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
• Support and lead the communication of key messages to the Compliance Division.

Director, MS

Financial Crime

• Support and/or lead managed services projects with other supervisors, relationship managers, account owners, and project leads
• Lead and oversee client engagements, ensuring high-quality delivery of AML/KYC services and solutions
• Supervise, coach, and mentor junior consultants and analysts, fostering a culture of continuous learning and excellence
• Participate in training and career development via assigned courses/curriculums, supervisor instruction, and other training opportunities
• Act as a subject matter expert on general AML expertise
• Provide strategic guidance on AML regulatory requirements and best practices, including US-based experience
• Conduct quality assurance reviews and provide sign-off on high-risk or complex cases
• Collaborate with internal stakeholders to develop and implement department-wide initiatives, including training programs, process improvements, and regulatory updates
• Stay current with evolving AML regulations and industry trends to ensure compliance and innovation

Consultant, Anti-Money Laundering, AML

General Counsel

• Coordinate with internal stakeholders and external counsel as needed to ensure timely, accurate, and compliant responses
• Lead and manage all litigation matters, including strategy development, case management, and working with outside counsel
• Provide guidance to internal stakeholders regarding litigation exposure, risks, and recommended actions
• Advise business units on legal risks and provide practical solutions aligned with business needs
• Oversee the efficient and effective drafting, reviewing, and negotiation of a variety of commercial contracts and legal documents
• Provide immediate and direct legal support to all of ACA on a variety of day-to-day business matters, including employment, privacy, and international matters
• Assist with the management of ACA’s corporate governance matters
• Oversee the drafting, review, and updating of and compliance with internal ACA policies
• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives
• Oversight, management, and monitoring of confidentiality and privacy-related matters

Associate General Counsel

• Oversee and mentor a team responsible for the client contracting process
• Define, refine, and continuously improve the client contracting function
• Draft, review, and negotiate a broad range of contracts to support ACA business functions, including client and non-disclosure agreements, as well as vendor, licensing, and other commercial contracts
• Maintain templates and forms as ACA’s business and service offerings evolve over time
• Partner closely with commercial, finance, and internal cross-functional teams to ensure business alignment
• Collaborate with stakeholders to assess contract risks, propose alternatives, and support business objectives
• Evaluate current processes and implement improvements to increase efficiency
• Provide legal advice and support on a variety of day-to-day matters
• Research unique legal issues impacting ACA and offer appropriate, business-oriented solutions
• Draft, review, maintain, and update ACA’s internal policies and assist with ensuring compliance
• Supervise, train, evaluate, oversee, and provide feedback to junior colleagues
• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives

Counsel

• Conduct compliance reviews and analyses of clients’ books and records
• Draft reports and summarize findings for clients
• Assist with regulatory filings, anti-money laundering, and electronic communication reviews
• Participate in planning reviews and client calls
• Review policies and procedures of Registered Investment Advisers

Compliance Analyst, Communications Surveillance

Accounts Receivable

• Overseeing the entire financial operations process or The customer set-up, invoice creation and cash application for ACA’s clients as well as project reviews and reconciliations related to projects or client accounts
• Depending on the specific needs of the Accounts Receivables team, the Accounts Analyst will be responsible for one of the areas of focus below: Financial Operations: Oversee and resolve escalation related to cash applications and collections during business day hours
• APS ownership from project creation down to invoicing
• Respond to daily revenue-related inquiries from various stakeholders
• Provide accurate and timely information to support business decisions
• Assist with financial operations related to acquisitions
• Ensure seamless transition and integration of acquired entities into existing financial systems
• Zendesk Ticket Escalations – handle and resolve tickets related to financial operation
• Prioritize and escalate to ensure timely resolution
• Process terminations in accordance with company policy and procedure
• Maintain accurate and up-to-date records of customer interactions and collection activities
• Prepare and submit reports on collection efforts and results
• Develop and maintain strategic partnership with Stakeholders
• Work closely with the Sales AEs and CSMs to address customer issues and improve overall customer satisfaction

Accounts Receivable Analyst

Consultant

• Participate in and lead mock regulatory examinations
• Conduct compliance program reviews
• Assist with policy and procedure reviews
• Draft reports and manuals for compliance
• Provide compliance advice to clients
• Develop client relationships
• Supervise and train junior staff
• Manage internal projects and initiatives
• Deliver client training and presentations