About ACA:

ACA Group is the leading governance, risk, and compliance (GRC) advisor in
financial services. We empower our clients to reimagine GRC and protect and grow
their business. Our cutting-edge approach integrates consulting, managed services,
and our ComplianceAlpha® technology platform with the specialized expertise of
former regulators and practitioners and our deep understanding of the global
regulatory landscape.

THE OPPORTUNITY

In the role of Compliance Analyst, Code of Ethics Managed Services, you will be
responsible for supporting ACA's 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.

WHAT YOU'LL DO:

* 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

📌 Compliance Analyst (Pune)
🏢 ACA Group
📍 Pune