ACA Compliance Group Holdings, LLC

  • Data Analyst - Code of Ethics

    Job Locations US-PA-Pittsburgh, PA
    Job ID
    2018-1185
    Category
    Compliance
    Type
    Regular Full-Time
  • Overview

    As a Code of Ethics Data Analyst, you will be responsible for all aspects of clients’ day-to-day personal trading compliance administration, including new client configuration and implementation, troubleshooting, drafting personal trading and best execution reports, and completing daily brokerage data imports onto ACA’s System or other similar systems. 

    Responsibilities

    • Reviewing clients’ personal trading and best execution reports, and clients’ code of ethics
    • Interact with clients to help resolve system related issues (including providing general software support and answering questions regarding reporting requirements) in a timely manner
    • Implement new client accounts and maintain existing client accounts on the ACA system (including
    • creating/removing employee accounts, enabling/disabling modules, creation of forms, loading brokerage accounts and assisting with broker feed setup)
    • Assist with internal testing process to ensure that ACA System deliverables are of acceptable quality
    • Helping resolve feed-related customer support issues, answering questions and providing technical support via helpdesk, email, phone and chat.
    • Call management including logging, monitoring / updating, prioritizing and resolving calls, emails and indirect inquiries in a timely fashion.
    • Working with key service providers that are used in the application to resolve issues.
    • Keeping our helpdesk documentation up to date by updating and crafting posts when needed
    • Collaborating with other members of the global support and professional services teams to assist with client issues and setups
    • Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives

    Qualifications

    • Bachelor’s Degree required - concentration or previous work experience in business, accounting, finance, criminal justice, law, or economics preferred
    • Minimum 1 year experience in Finance/Compliance role
    • Knowledge of the Investment Advisers Act of 1940, specifically the personal trading code of ethics rule thereunder (Rule 204A-1)
    • 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
    • Strong oral and written communication skills
    • Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet

     

     

    ACA is an equal opportunity employer and does not unlawfully discriminate against current or prospective employees on the basis of race, color, religion, sex, age, national origin, pregnancy, familial status, marital status, sexual orientation, gender identity, disability, veteran status, citizenship, ancestry, genetic information, or any other characteristics prohibited by law.

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