Consultant, MR-Distributor

Aca Group

8d

About The Position

This position assists the Outsourced Marketing Review (OMR) team to ensure compliance of marketing materials each year for ACA's distributor and advisory clients. Materials include fact sheets, websites, reprints, presentations, reports, letters and internal communications.   What you'll do: Assist in the review and approval of investment company and private placement material to ensure compliance with regulatory requirements for investment adviser and broker-dealer clients Complete assigned projects by organizing and coordinating information and requirements from various ACA systems and providing information to other departments for reporting purposes. Work with other team members, assisting with filing requirements as defined by FINRA Rules. Frequent interaction with ACA clients 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 Assist with preparing and updating advertising-related procedures and manuals Other tasks and duties as assigned Train staff and clients, as appropriate

Requirements

• Bachelor's degree, preferably with an emphasis in finance
• 1-2 years' previous work experience, financial services environment helpful
• 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
• Excellent written and verbal communication skills
• Excellent project management skills
• Ability to prioritize and meet multiple deadlines
• Ability to work independently under limited supervision, but also able work collaboratively as part of a team
• Attention to detail
• Strong computer skills, including experience with Excel, Word and databases

Responsibilities

• Assist in the review and approval of investment company and private placement material to ensure compliance with regulatory requirements for investment adviser and broker-dealer clients
• Complete assigned projects by organizing and coordinating information and requirements from various ACA systems and providing information to other departments for reporting purposes.
• Work with other team members, assisting with filing requirements as defined by FINRA Rules.
• Frequent interaction with ACA clients 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
• Assist with preparing and updating advertising-related procedures and manuals
• Other tasks and duties as assigned
• Train staff and clients, as appropriate

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: Entry Level