ACA Group

Senior Compliance Analyst, Anti-Money Laundering

ACA Group

full-time

Posted on:

Location Type: Office

Location: Pittsburgh • Pennsylvania • United States

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Job Level

Senior

About the role

  • Assist with ACA service offerings including, but not limited to: Regulatory filings, Expert network chaperoning, Anti-money laundering support, Electronic communication review, Code of ethics and personal trading reviews, Marketing review
  • Analyze clients’ books and records for potential regulatory issues
  • Interpret complicated and nuanced documents to identify potential 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 understand project scope and applicable regulatory risks
  • Draft reports for clients summarizing ACA’s review and any findings from such reviews
  • Assist with oversight of certain managed services client engagements to ensure contractual obligations are met
  • Participate in training and career development via assigned courses/curriculums, supervisor instruction, and other training opportunities
  • Maintain internal knowledge resources
  • Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to: Analyst training, Public speaking engagements, Attend conferences and roundtable events, Onsite client engagements

Requirements

  • Bachelor’s degree
  • At least 1 year of KYC investor onboarding experience
  • General working knowledge of relevant federal securities laws and associated rules and regulatory positions (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974)
  • Demonstrated professional integrity
  • Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
  • Ability to exercise discretion and make independent judgments on matters of significance
  • Ability to work in a fast-paced, small team environment
  • Ability to establish and maintain effective working relationships with colleagues and clients
  • Highly motivated and goal oriented; pro-active in one’s own education and career progression; volunteers for and shows initiative
  • Dedicated to upholding ACA’s high-quality standards and customer service focus
  • Strong organizational and problem-solving skills with attention to detail
  • Strong oral and written communication skills
  • Proficient with Microsoft Office applications and comfortable working in a tech enabled environment
Benefits
  • medical and dental coverage
  • 401(k) plans
  • a wide range of paid time off options
  • flexible work environment
  • time off for designated ACA Paid Holidays
  • Summer Fridays
  • Personal/Family Care
  • unique benefits such as Student Debt Forgiveness
  • Pet Insurance
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
KYC investor onboardingregulatory filingsanti-money laundering supportregulatory risk analysisreport draftingcontractual obligation oversightpolicy and procedure reviewdocument interpretationproblem-solvingattention to detail
Soft Skills
professional integritydependabilityflexibilityadaptabilitydiscretionindependent judgmentteam collaborationrelationship buildingmotivationinitiative