Senior Broker-Dealer Compliance Consultant

ACA Group; Portland (ME); On-site; USD 120,000 - 130,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plans

Flexible work environment

Paid time off

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group in Portland, Maine, seeks a Principal Consultant to advise broker-dealer clients on regulatory compliance and risk management with extensive industry experience.

You will customize policies, lead examinations, assist with FINRA applications, and contribute to business development. Travel is required, and you will collaborate within established workflows to support clients nationwide.

Qualifications

• 5+ years related industry experience.
• Hold 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.
• Willingness to travel and serve clients across a wide geographic area.

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 onsite client visits as required.
• Assist clients in completing FINRA New Member or Continuing Membership Application.
• Assist with business development by providing technical expertise and industry knowledge.
• Assist with webinars, conferences, newsletters, blogs, and other publications.
• Report to senior management on any violations and potential issues.
• Possibly named as CCO on Form BD (outsourced CCO).
• Maintain thorough CRM documentation and other tasks as assigned.

Skills

Regulatory compliance

Client advisory

Regulatory reporting

Project management

BD support

Education

Bachelor's degree

Tools

Series 7

Series 24

Job description

ACA Group in Portland, Maine, seeks a Principal Consultant to advise broker-dealer clients on regulatory compliance and risk management with extensive industry experience.

You will customize policies, lead examinations, assist with FINRA applications, and contribute to business development. Travel is required, and you will collaborate within established workflows to support clients nationwide.