Consultant, MR-Distributor (Marketing Review)

ACA Group • Durham, NC

29d • $90,000 - $95,000

About The Position

This position ensures the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients. Uses independent judgment and discretion to ensure client materials comply with applicable regulatory requirements. Responsible for working with multiple groups within other departments, clients and regulatory agencies.
What you’ll do:

Works independently in the review and approval of investment company and/or private placement material to ensure compliance with regulatory requirements for complex clients
Escalates client issues to Senior Principal Consultant, as appropriate
Works with the team to ensure compliance with FINRA/SEC and department policy for consistency of review
Daily interaction with ACA clients, regulatory contacts, and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
Monitor compliance and stay current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform
Train client staff, as appropriate
Ensures team is processing all workflow in a timely manner to meet department stated service levels
Monitors workflow daily and address team as applicable to ensure stated service levels are met
Participates in client on-boarding meetings for new team assigned clients

Requirements

• Bachelor’s degree, preferably with an emphasis in finance
• Minimum 3 years’ related compliance experience
• Thorough understanding of SEC and FINRA and other complex advertising rules that govern public and private investment products
• Ability to interpret rules and regulations and communicate them to others
• Strong organizational skills, including the capacity to multi-task
• Excellent analytical, reasoning and problem-solving skills
• Leadership qualities for establishing role as point-of-contact for Foreside’s clients
• Excellent written and verbal communication skills
• Excellent project management skills
• Ability to prioritize and meet multiple deadlines
• Attention to detail

Responsibilities

• Works independently in the review and approval of investment company and/or private placement material to ensure compliance with regulatory requirements for complex clients
• Escalates client issues to Senior Principal Consultant, as appropriate
• Works with the team to ensure compliance with FINRA/SEC and department policy for consistency of review
• Daily interaction with ACA clients, regulatory contacts, and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
• Monitor compliance and stay current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform
• Train client staff, as appropriate
• Ensures team is processing all workflow in a timely manner to meet department stated service levels
• Monitors workflow daily and address team as applicable to ensure stated service levels are met
• Participates in client on-boarding meetings for new team assigned clients

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level