Note: The job is a remote job and is open to candidates in USA. ACA Group is a governance, risk, and compliance advisor serving the financial services industry. The Consultant, MR-Distributor ensures regulatory compliance for investment company and private placement marketing materials, advises clients on advertising review matters, monitors workflow, and supports client onboarding and training.
Responsibilities
- 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
Skills
- • 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
- • FINRA Series 7 and Series 24 are required
- • 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
Benefits
- Bonus
- Medical coverage
- Dental coverage
- 401(k) plans
- A wide range of paid time off options
- Flexible work environment
- ACA Paid Holidays
- Summer Fridays
- Personal/Family Care
- Other leaves of absence when needed to support physical, financial, and emotional well-being
- Student Debt Forgiveness
- Pet Insurance
Company Overview
Company H1B Sponsorship