ACA Group
Compliance Analyst (MS), Communications Surveillance
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Compliance Review & Consulting Services Role
The Opportunity
The individual in this Compliance Review & Consulting Services position will participate in and ensure the successful execution of compliance reviews conducted by ACA for clients. They will conduct careful analyses of clients’ books and records for potential regulatory deficiencies, drafting reports, preparing supporting documentation, and summarizing findings.
Renowned training and development resources are available to foster growth in this role.
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 (AML) support
- Electronic communication review
- Code of ethics and 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 compliance, legal, or financial documents to identify risks.
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Plan upcoming client reviews, including:
- Participating in client calls
- Reviewing client policies and procedures
- Collaborating with supervisors to define scope and regulatory risks
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Draft client reports summarizing ACA’s review findings.
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Perform ad-hoc or specialized projects, such as:
- Conducting analyst training
- Presenting at industry conferences and roundtable events
- Supporting customized client engagements
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Requirements
Essential Qualifications
- A strong academic background (/degree level or recognized professional certification)
- Professional German fluency
Key Skills & Attributes
- 0–2 years’ experience in financial services or familiarity with UK regulatory frameworks, including:
- Financial Services and Markets Act 2000
- Markets in Financial Instruments Directive (MiFID)
- Alternative Investment Fund Managers Directive (AIFMD)
- Other applicable FCA rules and guidance
Ideal Attributes
- Solid professional integrity
- Flexibility, adaptability to new ACA initiatives and client needs
- Ability to independently evaluate high-priority matters and exercise professional judgment
- Thrives in a fast-paced, collaborative team environment
- Strong interpersonal skills for internal and client relationships
- Proactive, goal-oriented mindset with a commitment to personal development
- Dedication to ACA’s core values of quality, client-first service
- Exceptional organizational and problem-solving abilities
- Attention to detail
- Strong oral and written communication skills
- Proficiency with Microsoft Office and adaptability to digital workflows
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Benefits at ACA
ACA offers a competitive Total Rewards package, including:
- Performance-based compensation
- Annual discretionary bonus
- Pension contributions
- Private medical and life insurance
- Group income protection
- Discounted corporate gym memberships
- Employee assistance programs
- 26 days’ annual leave, plus bank holidays, work-anniversary days, and career development leave
- Self-improvement support, including funding for conferences and certifications
About ACA
ACA is a global leader in governance, risk, and compliance (GRC) consulting for financial services. We merge industry expertise, innovative technology (ComplianceAlpha® platform), and deep regulatory knowledge to help clients build resilient, growing businesses.
Our mission: "We empower clients to reimagine GRC."
ACA’s Commitment to Inclusion
ACA adheres to a policy of non-discrimination in all employment practices. Diversity and inclusion are core to our culture, and we are committed to ensuring opportunities for all applicants based on merit.
All qualified candidates will be evaluated without regard to race, sex, sexual orientation, gender identity, nationality, age, disability, veteran status, or any other protected characteristic under applicable law.
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