Compliance Analyst — Code of Ethics (Hybrid, PA)

Trellis Group; Pittsburgh (Allegheny County); Hybrid; USD 70,000 - 100,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off options

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group seeks a Compliance Analyst (MS) for its Managed Services team in Pittsburgh. You will analyze client books for regulatory issues, draft reports, and support various compliance reviews for ACA clients in a hybrid Pittsburgh office.

The role requires strong communication, data analysis, and a proactive approach to staying current on financial markets and regulations, with opportunities to engage in client-facing reviews and trainings.

Qualifications

• Proficiency with Microsoft Office, Adobe Acrobat, and the Internet.
• Strong oral and written communication skills.
• Strong data analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients.
• Proactive in own financial services compliance education and career development.
• Solid understanding of financial markets, financial products, investment advisors, and regulations.
• Ability to learn concepts and subject matter quickly and apply knowledge to client reviews.

Responsibilities

• Assist ACA service offerings, including regulatory filings, expert network chaperoning, AML, electronic communication review, and social media/marketing review.
• Analyze clients’ books and records for potential regulatory issues.
• Interpret complicated documents that may pose regulatory risks.
• Assist with planning upcoming reviews, participate in client calls, review client policies and procedures, and resolve issues with supervisors.
• Draft reports for clients summarizing ACA’s review and findings.
• Perform ad-hoc work and participate in training, conferences, and onsite client engagements.
• Review the adequacy of policies and procedures of Registered Investment Advisers in critical areas and test effectiveness.

Skills

Oral communication

Written communication

Data analysis

Discretion

Independent judgment

Financial services compliance

Regulations

Tools

Microsoft Office

Adobe Acrobat

Internet

Job description

ACA Group seeks a Compliance Analyst (MS) for its Managed Services team in Pittsburgh. You will analyze client books for regulatory issues, draft reports, and support various compliance reviews for ACA clients in a hybrid Pittsburgh office.

The role requires strong communication, data analysis, and a proactive approach to staying current on financial markets and regulations, with opportunities to engage in client-facing reviews and trainings.