Marketing Compliance Broker-Dealer Consultant

The Opportunity:

The individual in this position works with and supports supervisors, relationship managers, account owners, and engagement leads for  ACA Outsourced Marketing Review (OMR). Consultants typically have supervisory, training, and/or subject matter expertise responsibilities in addition to their expertise and support on OMR engagements. Consultants are expected to maintain up-to-date knowledge regarding the regulations, best practices, and nuances associated with the products and services they engage in.

What you’ll do:

• Support and/or lead OMR projects with other supervisors, relationship managers, account owners, and project leads
• Conduct reviews of clients’ books and records and other documents
• Train staff on regulations, policies, and procedures in one-on-one and small-group settings
• Oversee client relationships, including onboarding new clients, setting scope and workflow expectations, communicating findings, tracking budgets, reviewing invoices, answering questions, and ensuring client expectations and contractual obligations are met
• Analyze potential regulatory matters and assist in interpreting complicated and nuanced compliance deficiencies
• Draft and finalize reports summarizing ACA’s work and findings and review drafts prepared by analysts
• Participate in training and career development via assigned courses/curriculums, supervisor instruction, and other training opportunities
• Supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
• Manage and support thought leadership and other initiatives to promote ACA’s sales and marketing efforts.
• Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to: training, public speaking engagements, attending conferences and roundtable events, and onsite client engagements

To qualify for the role you must have:

• Bachelor’s degree
• At least three years of industry experience serving in a regulatory compliance role. Alternatively, at least 2 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority or (ii) a data analyst or senior data analyst with ACA or a consulting organization comparable to ACA
• General working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (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). Experience performing administrative or clerical duties in an office setting
• Required Licenses and Certification(s) Passing score on FINRA SIE Exam or equivalent, or other measurable demonstration of industry fundamental knowledge as deemed comparable at management’s discretion

Ideally, you’ll also have:

• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.

Skills and attributes for success:

• 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 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 and comfortable working in a tech-enabled environment.

What working at ACA offers:

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical and dental coverage 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

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 businesses. Our innovative 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.

What we commit to:

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation, and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability protected veteran status, or any other legally protected basis, in accordance with applicable law.