Senior Broker-Dealer Regulatory Consultant

ACA Group; Pittsburgh (Allegheny County); On-site; USD 120,000 - 130,000; Full time

Job summary

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

The role involves leading policy development, guiding on FINRA membership applications, managing onsite examinations, and supporting business development while maintaining a strong governance perspective across client engagements.

Qualifications

• 5+ years related industry experience.
• Series 7 and 24 registrations or willingness to obtain.
• Experience filing new or continuing member applications.
• Bachelor’s degree in a related field.
• Strong knowledge of Federal and State securities regulation.
• Ability to travel to service clients nationwide.

Responsibilities

• Provide consulting to broker-dealer clients on ongoing or project basis.
• Customize policies and procedures and lead clients in maintaining compliant programs.
• Complete onsite examinations and client visits as required.
• Assist clients with FINRA membership applications.
• Support business development with technical expertise.
• Contribute to webinars, conferences, newsletters, blogs, publications.
• Report to senior management on violations.
• Maintain CRM documenting work product.

Skills

Regulatory knowledge

Client advisory

Time management

Travel readiness

Executive presence

Communication skills

Education

Bachelor’s degree

Job description

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

The role involves leading policy development, guiding on FINRA membership applications, managing onsite examinations, and supporting business development while maintaining a strong governance perspective across client engagements.