The Opportunity:
This position ensures the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients. Uses independent judgment and discretion to ensure client materials comply with applicable regulatory requirements. Responsible for working with multiple groups within other departments, clients and regulatory agencies.
What you’ll do:
- Works independently in the review and approval of investment company and/or private placement material to ensure compliance with regulatory requirements for complex clients
- Escalates client issues to Senior Principal Consultant, as appropriate
- Works with the team to ensure compliance with FINRA/SEC and department policy for consistency of review
- Daily interaction with ACA clients, regulatory contacts, and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
- Monitor compliance and stay current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform
- Train client staff, as appropriate
- Ensures team is processing all workflow in a timely manner to meet department stated service levels
- Monitors workflow daily and address team as applicable to ensure stated service levels are met
- Participates in client on-boarding meetings for new team assigned clients
To qualify for the role, you must have:
- Bachelor’s degree, preferably with an emphasis in finance
- Minimum 3 years’ related compliance experience
- Thorough understanding of SEC and FINRA and other complex advertising rules that govern public and private investment products
Skills and attributes for success:
- Ability to interpret rules and regulations and communicate them to others
- Strong organizational skills, including the capacity to multi-task
- Excellent analytical, reasoning and problem-solving skills
- Leadership qualities for establishing role as point-of-contact for Foreside’s clients
- Excellent written and verbal communication skills
- Excellent project management skills
- Ability to prioritize and meet multiple deadlines
- Attention to detail
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 and 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 business. 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 or protected veteran status, or any other legally protected basis, in accordance with applicable law.
Salary Range: $80 - 90K
