Compliance Analyst (MS), Code of Ethics

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

Compliance Analyst (MS), Code of Ethics

Location: Pittsburgh, PA, US

Company: ACA Group

The Opportunity

In the role of the Compliance Analyst on our Managed Services team, you will be responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA Group ("ACA") for clients. The individual in this position will conduct careful analyses of clients’ books and records for potential regulatory deficiencies, as well as draft reports, prepare documents, and summarize findings for clients. This position will have a hybrid schedule at our Pittsburgh office.

What you’ll do

• Assist with ACA service offerings, including but not limited to:
  • Regulatory filings
  • Expert network chaperoning
  • Anti-money laundering
  • Electronic communication review
  • Social media and marketing review
• Analyze clients’ books and records for potential regulatory issues
• Interpret complicated and nuanced documents that may pose regulatory risks
• Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to resolve any issues
• Draft reports for clients summarizing ACA’s review and any findings from such reviews
• Perform other ad‑hoc work/special projects as necessary to support ACA on various client and internal initiatives, including but not limited to: Analyst training, public speaking engagements, attend conferences and roundtable events, and onsite client engagements
• Review the adequacy of the policies and procedures of Registered Investment Advisers in all their “critical areas” and test their effectiveness.

To qualify for the role you must have

• Proficiency with Microsoft Office applications, 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

Skills and attributes for success

• Ability to exercise discretion and make independent judgments on matters of significance
• Demonstrated professional integrity
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
• Ability to work well in a fast‑paced, small‑team environment
• Ability to work independently, multi‑task and prioritize effectively
• Ability to establish and maintain effective working relationships with colleagues and clients
• Highly motivated and goal oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks
• Dedicated to upholding ACA’s high‑quality standards and customer service focus
• Strong organizational and problem‑solving skills with attention to detail

Ideally, you’ll also have

• Background in law, banking, or writing a plus
• Highly motivated and goal oriented
• Proactive in one’s own education and career progression

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.

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.