[Remote] Consultant, MR-Distributor

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 client marketing materials, advises clients and internal teams on FINRA and SEC requirements, and supports workflow management, training, and client onboarding.

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
• A flexible work environment
• ACA Paid Holidays
• Summer Fridays
• Personal/Family Care
• Other leaves of absence when needed to support your physical, financial, and emotional well-being
• Student Debt Forgiveness
• Pet Insurance

Company Overview

ACA Group is the leading governance, risk, and compliance advisor to the financial services industry. It was founded in 2002, and is headquartered in Newyork, Argyll and Bute, GBR, with a workforce of 1001-5000 employees. Its website is https://acacompliancegroup.com/.

Company H1B Sponsorship

ACA Group has a track record of offering H1B sponsorships, with 1 in 2025. Please note that this does not guarantee sponsorship for this specific role.