Manage and enhance global regulatory reporting processes at Airwallex. Collaborate with Compliance, Operations, and Technology teams to ensure data integrity and compliance.
About the role
- Testing Analyst evaluating client compliance programs under federal securities laws at ACA Group. Involves regulatory issue analysis and communication of findings and recommendations.
Responsibilities
- Aiding with the execution of clients’ compliance program; testing mock regulatory examinations and compliance program reviews, including document preparation and review of requested material such as Anti-money laundering & KYC/CIP testing, Online presence (social media) reviews and marketing material reviews
- Conduct SEC Registered Investment Advisers Testing; Perform a range of tasks during client reviews, addressing the unique scale and complexity of ACA’s client base.
- Data Analysis & Forensic Reviews; Conduct SEC-related examinations for Registered Investment Advisers (RIAs) and targeted compliance reviews using the "ComplianceAlpha" platform.
- Compliance Program Assessments: Review and assess client compliance policies and procedures for adequacy and effectiveness against regulatory standards.
- Identify compliance gaps and recommend enhancements aligned with SEC regulations and industry’s best practices.
- Develop and execute "risk-based testing plans" covering areas such as Code of Ethics, Form ADV, PF filings, Form D, marketing, trading, and other regulatory requirements.
- Prepare comprehensive testing workpapers, matrices, and preliminary draft reports summarizing findings and recommendations.
- Manage and perform quarterly advisory compliance reviews in collaboration with ACA’s outsourced Chief Compliance Officer, driving robust compliance management and prompt resolution of gaps and issues thus strengthening compliance frameworks and addressing regulatory risks proactively.
- Document evidence and maintain audit-ready records within the ComplianceAlpha tool.
Requirements
- Bachelor’s or Master’s degree, preferably with a major in law, business, accounting, finance, or economics.
- 3 to 6 years of experience in compliance or business operations.
- Sector experience in asset management or investment banking within a GCC/COE environment is needed; compliance experience within BFSI, broker-dealer, investment adviser, or asset management firms is preferred.
- Thorough knowledge of federal securities laws and relevant regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, and Commodity Futures Trading Commission Act of 1974.
- Solid understanding of Private Equity, Hedge Funds, Mutual Funds, and their respective structures.
- Ability in Microsoft Office applications and proven aptitude for working in technology-driven environments, especially with compliance technology platforms such as NICE Actimize, Mantas, MCO, ComplySci, Smarsh, Global Relay, or Compliance Alpha is a plus.
Benefits
- medical and dental insurance
- 401(k) plans
- paid time off
- flexible work environment
- ACA Paid Holidays
- Summer Fridays
- Personal/Family Care
- Student Debt Forgiveness
- Pet Insurance
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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