ACA Group
Compliance Analyst (MS), Communications Surveillance
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Compliance Analyst (MS), Communications Surveillance
Regulatory Compliance Analyst
The Opportunity:
The individual in this position is responsible for participating in and ensuring the successful execution of compliance reviews and consulting work conducted by ACA for clients. The individual will:
- Conduct careful analyses of clients’ books and records for potential regulatory deficiencies
- Draft reports
- Prepare documents
- Summarize findings for clients
Candidates are strongly encouraged to utilize additional training and development resources to further their professional growth.
What You’ll Do:
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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 & personal trading reviews
- Marketing review
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Analyze clients’ books and records for potential regulatory issues
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Interpret complicated and nuanced documents to identify regulatory risks
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Assist in planning upcoming reviews, including:
- Participating in client calls
- Reviewing client policies & procedures
- Collaborating with supervisors to define project scope and applicable regulatory risks
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Draft summary reports for clients outlining ACA’s review findings
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Perform ad-hoc work/special projects, such as:
- Supporting analyst training
- Attending conferences and roundtable events
- Assisting with customized client engagements
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Qualifications & Requirements
Essential Criteria:
- Strong academic background (or equivalent professional certification)
- Proficiency in German
Preferred Profile:
- 0–2 years’ relevant financial services experience (or knowledge of the UK regulatory regime, including:
- Financial Services and Markets Act 2000
- Markets in Financial Instruments Directive
- Alternative Investment Fund Managers Directive
- FCA rules & guidance)
- Demonstrated professional integrity
- Dependable, flexible, and adaptable to new initiatives and changing client needs
- Ability to exercise discretion and make independent judgments on high-impact matters
- Comfortable working in a fast-paced, small-team environment
- Strong interpersonal skills
- Highly proactive in personal & career development
- Detail-oriented with strong organisational and problem-solving skills
- Excellent written & verbal communication skills
- Proficiency with Microsoft Office & tech-enabled workflows
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What Working at ACA Offers:
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Competitive compensation tied to performance
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Total Rewards Package includes:
- Annual discretionary bonus
- Pension scheme
- Private medical insurance
- Group life & income protection
- Subsidised corporate gym membership
- Season ticket loan
- Employee assistance programme
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Work-life balance:
- Up to 26 days of annual holiday (excluding UK statutory bank holidays)
- Additional days for work anniversary, career development & volunteering
About ACA
ACA Group is the leading governance, risk & compliance (GRC) advisor in financial services. We empower clients to reshape and protect their businesses through:
- Cutting-edge consulting expertise
- Managed services & ComplianceAlpha® technology platform
- Insights from former regulators and practitioners
- Deep understanding of the global regulatory landscape
Our Commitment
ACA is committed to equal opportunity, ensuring consideration for all applicants without regard to race, religion, gender, sexual orientation, age, or disability. Qualified candidates will receive fair evaluation in compliance with legally protected employment policies.
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