Senior Broker-Dealer Compliance Consultant

ACA Group; New York (NY); On-site; USD 120,000 - 130,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plan

Paid time off

Job summary

ACA Group is seeking a Principal Consultant-Broker Dealer Compliance to serve as a trusted advisor for broker-dealer clients in New York and across the U.S. You will deliver regulatory compliance consulting, tailor policies, and guide firms through complex regulatory filings and ongoing compliance programs.

The role requires 5+ years of industry experience, Series 7/24 credentials or willingness to obtain them, and strong regulatory knowledge.

Qualifications

• 5+ years related industry experience.
• Series 7 and 24 registrations or willingness to obtain.
• Bachelor’s degree, preferably in a related field.
• Advanced knowledge of Federal and State securities regulation.
• Ability to travel to service clients across a wide geographic area.
• Strong relationship management and executive presence.

Responsibilities

• Provide consulting to broker-dealer clients on ongoing or project basis.
• Customize policies and procedures and lead clients in maintaining best-in-class compliance programs.
• Complete onsite examinations, testing, and other client visits as required.
• Assist clients in completing FINRA New Member or Continuing Membership Applications.
• Support business development with technical expertise and industry knowledge.
• Contribute to webinars, conferences, newsletters, blogs, and other publications.
• Document work product thoroughly in CRM and reporting to senior management.

Skills

Regulatory compliance

Client advisory

Project management

Communication

Business development

Education

Series 7 & 24 registrations

Bachelor’s degree

Tools

CRM systems

Regulatory research tools

Job description

ACA Group is seeking a Principal Consultant-Broker Dealer Compliance to serve as a trusted advisor for broker-dealer clients in New York and across the U.S. You will deliver regulatory compliance consulting, tailor policies, and guide firms through complex regulatory filings and ongoing compliance programs.

The role requires 5+ years of industry experience, Series 7/24 credentials or willingness to obtain them, and strong regulatory knowledge.