Compliance 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.

Overview Of Position

The Accounting Specialist will assist the FINOP Consulting Department with the preparation of SEC/FINRA financial statements in accordance with FINRA/SEC Regulations and General Accepted Accounting Principles (GAAP) for Broker/Dealer and Investment Adviser clients.

Key Responsibilities

• Preparation of financial reports in accordance with GAAP
• Preparation of regulatory reports, to include FOCUS, SSOI, SIS, OBS and other required reports
• Download from the accounting system reports to review and tie accounts to back up documentation.
• Download and complete bank reconciliations and other statement reconciliations as needed.
• Work with the internal database to add notes and items needed for the preparation of financials and regulatory reports.
• Communicate with clients regarding pending items to complete financials and regulatory reports.
• 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
  
  

Qualifications (Personal, Educational, Experience)

• Associate’s degree in Accounting, Business Administration preferred
• 2+ years of accounting or office experience
• Working knowledge of Microsoft
• Working knowledge of Accounting software, Quick Books Online experience a plus
• Strong oral and written communications skills
• Proven audit/work monitoring skills
• Ability to interpret written or oral instructions received from manager
• Ability to effectively and efficiently complete assigned tasks
• Proven ability to handle multiple deadlines
• 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 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.

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