Compliance Analyst – Regulatory Review & Reporting

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

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.