Compliance Analyst (MS)

About ACA:

ACA was founded in 2002 by four former SEC regulators and one former state regulator. The founders saw a need for investment advisers to receive expert guidance on existing and new regulations. Over the years, ACA has grown both organically and by acquisition to expand our GRC business and technology solutions. Our services now include GIPS standards verification, cybersecurity and technology risk, regulatory technology, ESG advisory, AML and financial crimes, financial and regulatory reporting, and Mirabella for establishing EU operations.

The Opportunity:

ACA’s Code of Ethics (COE) team assists clients with the administration of their Code of Ethics. We support our clients by providing guidance to their employees with respect to the reporting of personal securities accounts, holdings, transactions, and other information through the Employee Compliance (EC) module in ComplianceAlpha.  ACA’s COE services also assist with the creation, distribution, and collection of employee certifications relating to gifts and entertainment, political contributions, outside business activities, and ad-hoc disclosures and attestations.  This position will also assist with ACA’s clients with regulatory filings to include Form 13F, Form 13H, Schedule 13G, Form ADV and Form PF. Among other things, Analysts will:

What you will do:
 

• Assist the reporting of personal securities accounts, holdings, and transactions via the EC module for COE clients
• Assist with the setup and maintenance of broker data feed connections
• Assist with the creation, distribution, and collection of employee certifications relating to gifts and entertainment, political contributions, outside business activities, and ad-hoc disclosures and attestations
• Monitor for new accounts available for direct feeds and gaps in aggregation feeds
• Assist with account statement review and the manual entry of transactional data into EC from statements
• Review and recommend optimizations for existing personal trading workflows
• Communicate with clients, legal counsel, and investors, when needed, to obtain required records
• Liaise with internal COE counterparts to finalize deliverables for clients
• Work under pressure and time constraints to ensure client deadlines are met
• Track progress of assignments using project management software tools
• Complete work independently within client and regulatory guidelines while also coordinating with a global service team to complete projects
• Perform other ad-hoc work and special projects as necessary to support ACA’s various client and internal initiatives.
• Review client data to confirm it is sufficient for the applicable filing.
• Upload complete data sets to ACA proprietary software, if applicable
• Draft regulatory filings and work directly with clients to obtain any additional information required for filing
• Submit filing on behalf of client
• Work under pressure and time constraints to ensure client deadlines are met
• Track progress of assignments using project management software tools
• Perform other ad-hoc work and special projects as necessary to support ACA’s various client and internal initiatives

What we commit to:

ACA is an equal opportunity employer that values diversity. We conduct our business without regard to actual or perceived age, race, color, religion, disability, caregiver, marital or partnership status, pregnancy (including childbirth, breastfeeding, or related medical conditions), ancestry, national origin and citizenship, sex, gender identity and expression, sexual orientation, sexual and reproductive health decisions, military or veteran status, creed, genetic predisposition, carrier status or any other category protected by federal, state and local law. 
 

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, recall, transfers, leaves of absence, compensation and all other terms and conditions of employment. 

Here at ACA, we have created a variety of programs to promote ACA’s culture of inclusivity and work hard to ensure that all our employees have an equal opportunity to contribute to ACA and feel that ACA is exactly where they belong.

Why join our team? 

We are the leading governance, risk, and compliance (GRC) advisor in financial services. When you join ACA, you'll become part of a team whose unique combination of talent includes the industry's largest team of former regulators, compliance professionals, legal professionals, and GIPS® standards verifiers in the industry, along with practitioners in cybersecurity, ESG, and regulatory technology.

Our team enjoys an entrepreneurial work environment by offering innovative and tailored solutions for our clients. We encourage creative thinking and making the most of your experience at ACA by offering multiple career paths. We foster a culture of growth by focusing on continuous learning through inquiry and curiosity, and transparency. If you’re ready to be part of an award-winning, global team of thoughtful, talented, and committed professionals, you’ve come to the right place.