Compliance Specialist II (Registration)

ACA Group

3d•Hybrid

About The Position

This position is responsible for processing initial and ongoing registration requirements for registered representatives and associated persons of affiliated broker-dealers. The position will include serving as the primary interface with registered representatives for registration matters.

Requirements

Bachelor’s degree or equivalent work experience
Minimum of five years of related experience
FINRA licenses; SIE, 7, 63
Familiarity with FINRA’s Web CRD system and related forms as well as general understanding common business software systems
In-depth understanding of SEC, FINRA and state rules that govern broker-dealer, office and representative supervision
Excellent written and verbal communication skills
Strong interpersonal and collaboration skills
Excellent analytical, reasoning and problem-solving skills
Ability to understand, interpret and communicate rules and regulations
Ability to prioritize workflow and meet multiple deadlines with limited supervision
Self-starter and team player with the ability to work with limited supervision
High attention to detail
Ability to skillfully interact with clients

Nice To Haves

Series 24 is a plus, but we are open to having the selected candidate obtain it shortly after hire.
Experienced user of standard office and regulatory software preferred

Responsibilities

Oversight of internal employees typically in a Team Leader role
Assist candidates with onboarding and understanding of various registration requirements pursuant to FINRA, State and ACA Foreside policy
Prepare background information and communicate critical deadlines and instructions
Follow established procedures to process FINRA and State registration or termination of registration for representatives and associated persons
Assist candidates with regulatory examination and continuing education arrangements
Enter critical information into databases and maintain detailed documents and documentation according to established protocol
Troubleshoot problems and investigate issues involving registration
Serve as a key resource to clients, representatives and staff including regular participation in group meetings involving registration and related matters
Serve as a team resource that assists management with requests for information
Subject matter expert on specific registration related tasks
Assist with project oversight
Allocate assignments and projects
Review and approval of certain registration related documents prior to final submission
Knowledge and understanding of FINRA, SEC and State rules and regulations and ability to apply as appropriate for this position
Other tasks and projects as assigned