Hybrid Compliance Analyst — Regulatory Advisory Associate

ACA Group; Pittsburgh (Allegheny County); Hybrid; USD 70,000 - 110,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plan

Paid time off and holidays

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group in Pittsburgh offers a hybrid role where you will administer compliance programs in coordination with the Chief Compliance Officer, support policy reviews, and prepare reports that promote regulatory compliance across investment advisory clients. You will work with multiple departments to coordinate services and ensure timely responses to client needs.

The role requires at least 2 years in the industry and knowledge of the Investment Advisers Act and related securities laws.

Qualifications

• 2 years of industry experience.
• Knowledge of federal securities laws (Investment Advisers Act of 1940, Investment Company Act of 1940).

Responsibilities

• Administer assigned client relationships and projects, ensuring prompt client questions/responses.
• Provide regulatory consulting services, draft filings, review policies and marketing materials, and conduct training.
• Assist with compliance program reviews: request/document review, interviews, and reporting.
• Coordinate and participate in regular client compliance meetings.
• Perform ad-hoc projects and occasional onsite client secondments.
• Conduct mock SEC exams and other consulting/testing engagements.

Skills

Client relations

Regulatory knowledge

Communication skills

Travel readiness

Education

Bachelor's degree

Tools

MS Office

ComplianceAlpha

Job description

ACA Group in Pittsburgh offers a hybrid role where you will administer compliance programs in coordination with the Chief Compliance Officer, support policy reviews, and prepare reports that promote regulatory compliance across investment advisory clients. You will work with multiple departments to coordinate services and ensure timely responses to client needs.

The role requires at least 2 years in the industry and knowledge of the Investment Advisers Act and related securities laws.