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Compliance Analyst, Distribution ACA Group

3.0 - 7.0 years

0 Lacs

pune, all india

On-site

ACA is a leading governance, risk, and compliance (GRC) advisor in financial services, founded in 2002 by former SEC and state regulators. ACA has grown organically and by acquisition to expand its services to include GIPS standards verification, cybersecurity, regulatory technology, ESG advisory, AML, financial crimes, and more. As an ACA Foreside Supervision Analyst, you will utilize independent judgment to ensure Registered Representatives comply with regulatory standards and ACA Foreside policies. Your primary responsibility will be reviewing electronic communications and social media for compliance. Your duties will include: - Reviewing electronic communications for compliance with poli...

Posted 1 week ago

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