Principal Consultant-Broker Dealer Compliance

ACA Group; Illinois; On-site; USD 120,000 - 130,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off options

Flexible work environment

ACA Paid Holidays

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is seeking a Principal Consultant to serve as a trusted advisor to broker-dealer clients, delivering regulatory compliance services and helping firms navigate complex rules and mitigate risk.

The role involves leading policy development, performing on-site examinations, aiding with FINRA applications, and contributing to client development. A strong background in securities regulation and client service is essential, with travel across regions expected.

Qualifications

• 5+ years of related industry experience in securities/regulatory consulting.
• Series 7 and 24 registrations or willingness to obtain.
• Experience in development and filing of new or continuing membership applications.
• Bachelor’s degree, preferably in a related field.
• Advanced knowledge of Federal and State securities regulations and their interpretation.
• Ability to travel to service clients across a wide geographic area.
• Proven ability to work within company workflows and collaborate with the team.

Responsibilities

• Provide consulting to broker-dealer clients on an ongoing or project basis.
• Customize policies and procedures and lead clients in maintaining best-in-class compliance programs.
• Complete onsite examinations, testing, and other visits as required.
• Assist clients in completing FINRA New Member or Continuing Membership Applications.
• Assist with business development through technical expertise and industry knowledge.
• Contribute to webinars, conferences, newsletters, blogs, and publications.
• Report potential or perceived violations to senior management.
• Maintain thorough use of the CRM system to document work product.
• Other tasks and projects as assigned.

Skills

Executive presence

Oral and written communication

Detail-oriented

Self-starter

Customer-focused

Time management

Relationship management

Education

Bachelor’s degree

Tools

CRM software

Job description

The Opportunity:

The Principal Consultant serves as a trusted advisor to ACA Group's broker-dealer clients, delivering regulatory compliance and consulting services that help firms navigate complex regulatory requirements, mitigate risk, and maintain effective compliance programs.

The Opportunity:

The Principal Consultant serves as a trusted advisor to ACA Group's broker-dealer clients, delivering regulatory compliance and consulting services that help firms navigate complex regulatory requirements, mitigate risk, and maintain effective compliance programs.

What you’ll do:

• Provide consulting to our broker-dealer clients on an ongoing or project basis, as assigned.
• Customizing policies and procedures and leading clients in maintaining best in class compliance programs
• Complete onsite examinations, testing, and other onsite client visits as required
• Assist clients in completing FINRA New Member or Continuing Membership Application, as assigned.
• Assist with business development by providing technical expertise and industry knowledge
• Assist with webinars, conferences, newsletters, blogs, and other publications
• Conduct oneself in a professional manner
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
• Potentially being named as CCO on Form BD (outsourced CCO)
• Thorough use of CRM system to document work product
• Other tasks and projects as assigned

To qualify for the role you must have:

• 5+ years related industry experience
• Hold Series 7 and 24 registrations or be willing to obtain such if requested
• Experience in development and filing of new membership or continuing member applications
• Bachelor’s degree, preferably in a related field
• Advanced knowledge of Federal and State securities regulation and interpretation
• Ability to keep abreast of rules, regulations, and current issues impacting our clients and to be able to disseminate this information to clients
• Ability to travel, with responsibility for servicing clients located across a wide geographic area
• Proven ability to work within company-established workflows and collaborate with the team on refinements to internal procedures
• Customer-focused attitude
• Self-starter and ability to organize workload and meet deadlines
• Ability to handle multiple priorities efficiently
• Advanced working knowledge of computer systems, database systems, paperless data retention and email
• Team player mentality. Willing to do what it takes to get the job done
• Strong relationship management skills and executive presence
• Strong time management and organization skills with strong attention to detail
• Strong written communication and oral communication skills and ability to interface with all levels of management

Skills and attributes for success:

• Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
• Excellent oral and written communication skills
• Detail-oriented and multi-task capability
• Independent Self-Starter – the ability to organize workload and meet deadlines
• Service orientation with proven ability to provide superior customer service
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
• Ability to work both independently and as part of a team
• Customer-focused attitude
• Time management and organization skills, with a strong attention to detail
• Strong written communication and oral communication skills

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: $120,000.-$130,000 plus bonus

Please note that everyone using, storing, sharing or transmitting information with or through ACA devices or systems, should have no expectation of privacy in any message, files, data, document, facsimile, telephone conversation, conversation, message, or any other kind of information or communications transmitted to, received from, printed from, or stored or recorded while utilizing any ACA systems, software, and data.