Consultant, MR-Distributor

Trellis Group; Portland, Northern (ME, KY); Hybrid; USD 95,000 - 140,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plan

Student debt forgiveness

Pet insurance

Flexible work environment

Job summary

ACA Group is seeking a Senior Principal Consultant to ensure regulatory compliance of marketing materials for complex clients. You will apply independent judgment to ensure adherence to SEC/FINRA rules, collaborate with multiple departments, clients, and regulators, and advise on advertising reviews.

You’ll interact with ACA clients daily, monitor standards, train staff as needed, and help the team meet service levels while supporting onboarding for new clients.

Qualifications

• Bachelor’s degree in finance or related field.
• Minimum 3 years’ compliance experience.
• Thorough understanding of SEC/FINRA rules governing advertising for investment products.
• FINRA Series 7 and Series 24 required.

Responsibilities

• Review and approve investment company and private placement materials for regulatory compliance.
• Escalate client issues to Senior Principal Consultant as appropriate.
• Ensure consistency with FINRA/SEC and internal policies across reviews.
• Interact daily with ACA clients, regulators, and staff on advertising matters.
• Monitor FINRA/SEC requirements and advise on material conforming.
• Train client staff as appropriate.
• Support timely workflow and service levels for client onboarding.

Skills

Regulatory compliance

Rule interpretation

FINRA/SEC knowledge

Education

Bachelor's degree in finance or related field

Job description

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Date: Aug 18, 2026

Company: ACA Group

Location: Flexible (Can be Remote)

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
• FINRA Series 7 and Series 24 are required.

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
• Excellent written and verbal communication skills
• Excellent project management skills
• Ability to prioritize and meet multiple deadlines

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.