Compliance Analyst - Code of Ethics

ACA Group; Pune District; On-site; INR 800,000 - 1,200,000; Full time

Job summary

ACA Group is a leading governance, risk, and compliance advisor in financial services. The Compliance Analyst, Code of Ethics Managed Services, supports ACA's clients with the administration of their Code of Ethics program and regulatory filing obligations.

The role includes reporting on personal trading, setup of broker data feeds, and tracking employee certifications, while preparing and submitting regulatory filings such as Form 13F, 13H, Schedule 13G, ADV, and Form PF.

Qualifications

• 3–6 years of compliance or regulatory reporting experience.
• Experience with personal trading compliance and regulatory filings.
• Strong analytical and communication skills.

Responsibilities

• Assist with reporting of personal securities accounts, holdings, and transactions.
• Assist with setup, monitoring, and maintenance of broker data feed connections.
• Support creation, distribution, and tracking of employee certifications related to gifts, entertainment, and outside activities.
• Review account statements and assist with manual data entry into the EC platform.
• Monitor feed availability and identify gaps in account aggregation feeds.
• Review and suggest improvements for personal trading and compliance workflows.
• Coordinate with clients, brokers, and legal teams to obtain required documentation and records.
• Assist in preparing regulatory filings including Form 13F, 13H, Schedule 13G, Form ADV, and Form PF.
• Ensure client data completeness and accuracy before filing submissions.
• Upload and maintain data within ACA proprietary systems and compliance platforms.
• Work with internal teams to finalize client deliverables and ensure service quality.

Skills

Attention to detail

Project management

Stakeholder management

Client service

Tools

Microsoft Office

Adobe Acrobat

Job description

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.

The Opportunity

In the role of Compliance Analyst, Code of Ethics Managed Services, you will be responsible for supporting ACA's clients with the administration of their Code of Ethics program and regulatory filing obligations. The individual in this position will assist with the reporting and monitoring of employee personal trading activity, employee certifications, broker feed maintenance, regulatory filings, and other compliance-related activities conducted by ACA on behalf of its clients.

What you'll do:

• Assist with the reporting of personal securities accounts, holdings, and transactions through ACA's Employee Compliance (EC) platform.
• Assist with the setup, monitoring, and maintenance of broker data feed connections.
• Support the creation, distribution, and tracking of employee certifications related to gifts and entertainment, political contributions, outside business activities, and other compliance disclosures.
• Review account statements and assist with the manual entry of transactional data into the EC platform as needed.
• Monitor direct-feed account availability and identify gaps in account aggregation feeds.
• Review and recommend process improvements for personal trading and compliance workflows.
• Communicate with clients, brokers, legal counsel, and other stakeholders to obtain required documentation and records.
• Assist in preparing and submitting regulatory filings, including Form 13F, Form 13H, Schedule 13G, Form ADV, and Form PF.
• Review client data for completeness and accuracy prior to filing submissions.
• Upload and maintain data within ACA proprietary systems and compliance technology platforms.
• Work closely with internal compliance teams to finalize client deliverables and ensure service quality.
• Work under pressure and time constraints to ensure client deadlines and regulatory obligations are met.
• Track progress of assignments using project management software tools.
• Complete work independently while coordinating with global service teams to successfully execute client engagements.
• Perform ad hoc projects and other compliance-related tasks to support ACA's client and internal initiatives.

To qualify for the role, you must have:

• 3-6 years of relevant work experience in compliance, regulatory reporting, financial services, operations, or a related field.
• Proficiency with Microsoft Office applications, Adobe Acrobat, and Internet-based applications.
• Strong attention to detail and ability to manage multiple priorities in a deadline-driven environment.

Ideally, you'll also have:

• Experience supporting Code of Ethics administration, employee compliance monitoring, or personal trading compliance programs.
• Familiarity with regulatory filings, including Form 13F, Form 13H, Schedule 13G, Form ADV, and Form PF.
• Experience working with compliance monitoring platforms and compliance technology solutions.
• Knowledge of investment adviser regulatory requirements and securities compliance practices.
• Experience working in a client-service-oriented environment.
• Strong project management and stakeholder management skills.

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 status in accordance with applicable law.