Compliance Analyst ( MS )

Job Summary

In the role of Compliance Analyst, Code of Ethics Managed Services, you will be responsible for supporting ACAs clients with the administration of their Code of Ethics program and regulatory filing obligations. The individual in this position will assist with the reporting and monitoring of employee personal trading activity, employee certifications, broker feed maintenance, regulatory filings, and other compliance-related activities conducted by ACA on behalf of its clients.

Location: Pune, IN

Company: ACA Group

Responsibilities

• Assist with the reporting of personal securities accounts, holdings, and transactions through ACA's Employee Compliance (EC) platform.
• Assist with the setup, monitoring, and maintenance of broker data feed connections.
• Support the creation, distribution, and tracking of employee certifications related to gifts and entertainment, political contributions, outside business activities, and other compliance disclosures.
• Review account statements and assist with the manual entry of transactional data into the EC platform as needed.
• Monitor direct-feed account availability and identify gaps in account aggregation feeds.
• Review and recommend process improvements for personal trading and compliance workflows.
• Communicate with clients, brokers, legal counsel, and other stakeholders to obtain required documentation and records.
• Assist in preparing and submitting regulatory filings, including Form 13F, Form 13H, Schedule 13G, Form ADV, and Form PF.
• Review client data for completeness and accuracy prior to filing submissions.
• Upload and maintain data within ACA proprietary systems and compliance technology platforms.
• Work closely with internal compliance teams to finalize client deliverables and ensure service quality.
• Work under pressure and time constraints to ensure client deadlines and regulatory obligations are met.
• Track progress of assignments using project management software tools.
• Complete work independently while coordinating with global service teams to successfully execute client engagements.
• Perform ad hoc projects and other compliance-related tasks to support ACAs client and internal initiatives.

Requirements

• Bachelors degree.
• 3-6 years of relevant work experience in compliance, regulatory reporting, financial services, operations, or a related field.
• Proficiency with Microsoft Office applications, Adobe Acrobat, and Internet-based applications.
• Strong attention to detail and ability to manage multiple priorities in a deadline-driven environment.

Preferred qualifications

• Experience supporting Code of Ethics administration, employee compliance monitoring, or personal trading compliance programs.
• Familiarity with regulatory filings, including Form 13F, Form 13H, Schedule 13G, Form ADV, and Form PF.
• Experience working with compliance monitoring platforms and compliance technology solutions.
• Knowledge of investment adviser regulatory requirements and securities compliance practices.
• Experience working in a client-service-oriented environment.
• Strong project management and stakeholder management skills.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.