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ACA Group · 2 days ago

Compliance Analyst (MS), Communications Surveillance

Pittsburgh, PA

Full-time

Hybrid

New Grad, Entry Level

ACA Group is the leading governance, risk, and compliance advisor in financial services. In the role of Compliance Analyst, you will participate in compliance reviews and consulting work, analyze clients' records for regulatory deficiencies, and draft reports summarizing findings.

ConsultingCyber SecurityFinancial Services

Responsibilities

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

Qualification

Data analytical skillsFinancial markets knowledgeRegulatory compliance knowledgeMicrosoft Office proficiencyCommunication skillsProactive attitudeProblem-solving skillsOrganizational skillsTeamwork

Required

Bachelor's degree

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

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