Compliance Analyst (MS), Code of Ethics (COE)

Axiom Law; Pittsburgh (Allegheny County); Hybrid; USD 50,000 - 65,000; Full time

Benefits offered by this job

Medical & dental coverage

401(k) plan

Paid time off

ACA Paid Holidays

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group in Pittsburgh, PA, is seeking a Compliance Analyst on the Managed Services team to analyze client books for regulatory issues and draft findings. The role involves preparing reports, reviewing policies, and supporting various client and internal initiatives in a hybrid Pittsburgh office setting.

The ideal candidate will have strong MS Office skills, excellent communication, and a solid understanding of financial markets and regulations, with proactive compliance education ongoing.

Qualifications

• 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.
• 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 with ACA service offerings, including regulatory filings, expert network chaperoning, anti-money laundering, 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, including client calls and policy reviews.
• Draft reports for clients summarizing ACA’s review and findings.
• Undertake ad-hoc projects and training, including conferences and client engagements.

Skills

Microsoft Office

Adobe Acrobat

Internet

Job description

Compliance Analyst (MS), Code of Ethics (COE)

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
• 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
• Ability to establish and maintain effective working relationships with employees and clients
• Strong oral and written communication skills
• Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients

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.

The cash compensation range we have provided has been benchmarked against similar organizations of comparable size, sector, and age. Our offers of employment consider a variety of factors, including but not limited to, unique skill sets, specific expertise or certifications and business/organizational needs. It is not typical for us to hire talent at the top of the range for a role, in part because it’s so important to us to allow all ACA employees the opportunity to develop over time, and to feel rewarded for doing so. Our listed range is a reasonable estimate of the total yearly compensation.

Salary Range:$50,000.00 plus discretionary bonus

Please note that everyone using,storing, sharing or transmitting information with or throughACA devicesor systems,should have no expectation of privacyin any message, files, data, document, facsimile, telephone conversation, conversation, message, or any other kind of information or communications transmitted to, receivedfrom, printed from, or stored or recorded while utilizing any ACA systems, software, and data.