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 ...
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 ...
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 ...
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 ...
OR · On-site
$100K - $140K/yr
Role Roadmap As an Operations Risk Analyst, you'll help ensure the stability and integrity of ... timeliness, and compliance * Continuously monitor risk exposure, system performance, and ...
Fraud Examiner / Analyst
$26 - $30/hr
The analyst ensures adherence to regulatory requirements, including the USA PATRIOT Act, while ... compliance * Support Customer Due Diligence (CDD) activities, including account reviews and risk ...
Fraud Examiner / Analyst
$26 - $30/hr
The analyst ensures adherence to regulatory requirements, including the USA PATRIOT Act, while ... compliance * Support Customer Due Diligence (CDD) activities, including account reviews and risk ...
Financial Risk Analyst
Tualatin, OR · Hybrid
Provides data and reporting for various regulatory analyses and compliance requirements; advises other departments of risk-management policies and regulations. * Ensures the integrity of data in risk ...
Financial Risk Analyst
Tualatin, OR · Hybrid
Provides data and reporting for various regulatory analyses and compliance requirements; advises other departments of risk-management policies and regulations. * Ensures the integrity of data in risk ...
OR · On-site
$143K - $173K/yr
Previous experience in risk management, compliance, or analytical roles. Technical Skills: While this is not an engineering role, knowledge of software development concepts will help immensely.
OR · On-site
$143K - $173K/yr
Previous experience in risk management, compliance, or analytical roles. Technical Skills: While this is not an engineering role, knowledge of software development concepts will help immensely.
Entry-Level Environmental Chemist - Data Validation
OR · On-site +1
$55K - $65K/yr
Reviewing analytical data generated by environmental laboratories in an organized and efficient ... mitigate risk and protect the air, water and soil that sustain communities, while uncovering ...
Entry-Level Environmental Chemist - Data Validation
OR · On-site +1
$55K - $65K/yr
Reviewing analytical data generated by environmental laboratories in an organized and efficient ... mitigate risk and protect the air, water and soil that sustain communities, while uncovering ...
The audits to be performed each year are identified based on the then-current Office of Inspector General Workplan, its Compliance Guidance's, and compliance risk analyses. Reporting to the ...
The audits to be performed each year are identified based on the then-current Office of Inspector General Workplan, its Compliance Guidance's, and compliance risk analyses. Reporting to the ...
OR · Hybrid
$98.40K/yr
... compliance purposes. The technology landscape is rapidly evolving, so it will be imperative to ... Apply critical thinking and analysis to independently execute control testing and documenting of ...
New
OR · Hybrid
$98.40K/yr
... compliance purposes. The technology landscape is rapidly evolving, so it will be imperative to ... Apply critical thinking and analysis to independently execute control testing and documenting of ...
New
OR · Hybrid
$98.40K/yr
... compliance purposes. The technology landscape is rapidly evolving, so it will be imperative to ... Apply critical thinking and analysis to independently execute control testing and documenting of ...
OR · Hybrid
$98.40K/yr
... compliance purposes. The technology landscape is rapidly evolving, so it will be imperative to ... Apply critical thinking and analysis to independently execute control testing and documenting of ...
Data Protection Sr. Analyst
Portland, OR · Hybrid
$84.80K - $100.70K/yr
... Risk Management). * Participate in requirements gathering, workshops, and documentation efforts ... Prior internship, academic project, or entry-level experience in security or compliance is a plus.
Data Protection Sr. Analyst
Portland, OR · Hybrid
$84.80K - $100.70K/yr
... Risk Management). * Participate in requirements gathering, workshops, and documentation efforts ... Prior internship, academic project, or entry-level experience in security or compliance is a plus.
Demonstrated ability to conduct root cause analyses and risk assessments. * Demonstrated strong ... This position has the utmost responsibility for compliance with the rules and regulations regarding ...
Demonstrated ability to conduct root cause analyses and risk assessments. * Demonstrated strong ... This position has the utmost responsibility for compliance with the rules and regulations regarding ...
Safety Analyst
Portland, OR · On-site
Your work ensures that risk is effectively managed across flight operations, maintenance, and ... Audits & Compliance: Review and document internal safety audits to ensure adherence to FAA, CASA ...
Quick apply
Safety Analyst
Portland, OR · On-site
Your work ensures that risk is effectively managed across flight operations, maintenance, and ... Audits & Compliance: Review and document internal safety audits to ensure adherence to FAA, CASA ...
Accountant I
Wilsonville, OR · Hybrid
$64.60K - $72.87K/yr
... entry-level accounting position ideal for someone early in their career who wants hands-on ... CIS is a member-owned risk-sharing organization (risk pool) that serves local governments in Oregon ...
Accountant I
Wilsonville, OR · Hybrid
$64.60K - $72.87K/yr
... entry-level accounting position ideal for someone early in their career who wants hands-on ... CIS is a member-owned risk-sharing organization (risk pool) that serves local governments in Oregon ...
Be Seen First
... compliance with STEM OPT requirements while helping the candidate build strong analytical and ... professional skills. ️ Key Responsibilities * Analyze structured and unstructured datasets to ...
Quick apply
Be Seen First
... compliance with STEM OPT requirements while helping the candidate build strong analytical and ... professional skills. ️ Key Responsibilities * Analyze structured and unstructured datasets to ...
Be Seen First
... compliance with STEM OPT requirements while helping the candidate build strong analytical and ... professional skills. ️ Key Responsibilities * Analyze structured and unstructured datasets to ...
Quick apply
Be Seen First
... compliance with STEM OPT requirements while helping the candidate build strong analytical and ... professional skills. ️ Key Responsibilities * Analyze structured and unstructured datasets to ...
Intern - Risk & Insurance Specialist
Beaverton, OR · On-site
$15.50 - $20.75/hr
From marketers and strategists to financial analysts and data engineers, and so much more, we're ... compliance considerations across multiple states Enterprise Risk Management (ERM) principles ...
Intern - Risk & Insurance Specialist
Beaverton, OR · On-site
$15.50 - $20.75/hr
From marketers and strategists to financial analysts and data engineers, and so much more, we're ... compliance considerations across multiple states Enterprise Risk Management (ERM) principles ...
Compliance Project Manager
$100K - $115K/yr
... scope, timelines, risk mitigation, and cross‑functional execution to meet regulatory ... Strong analytical, technical, and communication skills with advanced proficiency in Microsoft ...
Compliance Project Manager
$100K - $115K/yr
... scope, timelines, risk mitigation, and cross‑functional execution to meet regulatory ... Strong analytical, technical, and communication skills with advanced proficiency in Microsoft ...
Compliance Project Manager
Portland, OR · Hybrid
$100K - $115K/yr
... risk mitigation, and crossfunctional execution to meet regulatory, sustainability, and product ... Strong analytical, technical, and communication skills with advanced proficiency in Microsoft ...
Compliance Project Manager
Portland, OR · Hybrid
$100K - $115K/yr
... risk mitigation, and crossfunctional execution to meet regulatory, sustainability, and product ... Strong analytical, technical, and communication skills with advanced proficiency in Microsoft ...
Business Analyst III
Portland, OR · On-site
$46.50 - $64/hr
We are seeking a skilled and detail-oriented Business Analyst to join our team and work on a ... compliance requirements. Develop training materials as needed. • Risk Management: Identify ...
Business Analyst III
Portland, OR · On-site
$46.50 - $64/hr
We are seeking a skilled and detail-oriented Business Analyst to join our team and work on a ... compliance requirements. Develop training materials as needed. • Risk Management: Identify ...
Entry Level Risk Compliance Analyst information
What are the key skills and qualifications needed to thrive as an Entry Level Risk Compliance Analyst, and why are they important?
What typical challenges do Entry Level Risk Compliance Analysts face when adapting to regulatory changes?
What does an Entry Level Risk Compliance Analyst do?
What is the difference between Entry Level Risk Compliance Analyst vs Entry Level Compliance Associate?
| Aspect | Entry Level Risk Compliance Analyst | Entry Level Compliance Associate |
|---|---|---|
| Certifications | Basic compliance or risk certifications (e.g., CRCM, CAMS) | Similar certifications often required |
| Work Environment | Financial institutions, corporate compliance departments | Financial, healthcare, or corporate sectors |
| Employer Usage | Risk management and compliance teams | Compliance departments across industries |
| Search Intent | Comparing entry-level risk and compliance roles | Entry-level compliance roles in various sectors |
Both roles are entry-level positions focused on ensuring organizational adherence to regulations. The Risk Compliance Analyst emphasizes risk assessment and mitigation, often within financial institutions, while the Compliance Associate may handle broader compliance tasks across industries. Understanding these differences helps candidates target the right roles based on their interests and certifications.
Other
Medical, Dental, Retirement, PTO
Posted 20 days ago
Job description
The Opportunity:
This position uses independent judgement and discretion to ensure all Registered Representatives adhere to regulatory standards and ACA Foreside compliance policies. The position will include serving as a primary interface with our Registered Representatives, Supervising Principals and Compliance contacts for Supervision matters.
What you'll do:
- Compile information related to office inspections and provide to inspectors.
- Complete administrative tasks related to personal brokerage accounts for associated persons.
- Enter critical information into databases and ensure data accuracy by following established procedural documentation.
- Review electronic communications sent and received by registered representatives of the firm in various systems. Confirm compliance with policies and procedures and document escalations.
- Utilize third party system to review social media for compliance with FINRA & ACA Foreside policies and procedures and document escalations
- Review of supervisory logs, including gifts and entertainment for compliance with FINRA & ACA Foreside policies/procedures and document escalations.
- Serve as a key resource for dedicated projects, as requested by management
- Troubleshoot problems and investigate issues involving compliance matters.
- Serve as a key resource to clients, representatives and staff including regular participation in group meetings involving compliance and related matters.
- Knowledge and understanding of FINRA, SEC and State rules and regulations and ability to apply as appropriate for this position
- Other tasks and projects as assigned
To qualify for the role you must have:
- Bachelor's degree or equivalent work experience
- Minimum 1 year of relevant work experience, preferably in financial services
- FINRA licenses Series 7 and Series 24 are required
Skills and attributes for success:
- Experienced user of standard office and regulatory software preferred
- Excellent written and verbal communication skills
- Strong interpersonal and collaboration skills
- Ability to prioritize and meet multiple deadlines
- Self-starter and team player with the ability to work with limited supervision
- High 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 and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You'll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.
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.
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 basis, in accordance with applicable law.
Salary Range: $60K plus bonus
About ACA Group
Sourced by ZipRecruiter
Industry
Finance and insurance
Company size
501 - 1,000 Employees
Headquarters location
New York, NY, US
Year founded
2002