As a Manager of BD Finance, you will perform the duties of a FinOp and be part of a tenured team of professionals who are providing regulatory compliance and accounting services to the ACA/Foreside in-house Broker/Dealers.
What you’ll do:
- Oversee the preparation and maintenance of accurate financial statements and reports in compliance with GAAP and FINRA/SEC regulations. Some interactions with FINRA/SEC regulators are required.
- Oversee daily financial operations of the ACA/Foreside in-house Broker/Dealers.
- Conduct month-end and year-end closing processes, ensuring timely reporting and reconciliations.
- Collaborate with cross-functional teams to enhance financial processes and implement best practices.
- Monitor and ensure compliance with SEC regulations and reporting requirements related to Series 27.
- Provide financial analysis and insights to support business decisions and strategy development.
- Assist with audits (both AML and financial statement audit), and liaise with external auditors as needed.
- Review of quarterly FOCUS filings
- Review of Fund 12b-1 Fees, Transaction Based Compensation, and other related money streams.
- Other duties as assigned.
To Qualify for the role, you will have:
- Bachelor’s degree in accounting or related field
- Minimum of four (4) years of accounting experience, with experience in a broker dealer environment
- Must have Series 27
Skills and Attributes needed for Success:
- 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
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.
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