Managing Director, Broker Dealer Consulting & Compliance

ACA Group

7d

About The Position

ACA is seeking a dynamic, commercially minded leader to drive the growth and operational excellence of our Broker Dealer Consulting practice. This executive will oversee recurring service lines—including outsourced Chief Compliance Officer (CCO), outsourced FINOP, project-based consulting team, and the team responsible for drafting and submitting New Membership Applications (NMAs) and Continuing Membership Applications (CMAs). The ideal candidate combines strategic business acumen with deep regulatory expertise, fostering innovation and client-centric solutions in a rapidly evolving market.

Requirements

• 10+ years of progressive leadership experience in broker dealer compliance, operations, risk management, or consulting.
• Demonstrated success in driving business growth and implementing commercial strategies within a consulting or financial services environment.
• Bachelor’s degree in finance, business, or related field required; advanced degree (MBA, JD) preferred.
• Active FINRA Series 7 and Series 24 (or Series 14) required; additional compliance-related certifications preferred.
• Deep knowledge of SEC, FINRA, and other relevant securities regulations.
• Proven experience managing teams and delivering complex service lines.
• Exceptional communication, analytical, and strategic thinking skills.
• Strong client relationship management and business development abilities.

Responsibilities

• Set and execute the strategic vision for the broker dealer consulting practice, identifying new market opportunities and driving revenue growth.
• Develop and implement business development strategies to expand client relationships and increase market share.
• Engage with sales and marketing efforts, including thought leadership and/or industry events.
• Manage practice profitability, budgeting, and resource accountability to achieve financial targets.
• Oversee delivery of outsourced CCO and FINOP services, continuing to ensure that ACA is helping clients meat rigorous compliance with FINRA regulations.
• Oversee the team responsible for NMAs and CMAs, ensuring accurate, timely submissions and regulatory approvals.
• Work with and influence staff  to maintains enhance compliance delivery frameworks, Written Supervisory Procedures development, AML programs oversight, and risk control matrices.
• Advise clients and internal teams on regulatory changes, compliance best practices, and operational improvements.
• Serve as a subject matter expert on broker dealer regulations, representing ACA in client engagements and regulatory discussions.
• Mentor, develop, and inspire high-performing teams across service lines.
• Cultivate long-term client relationships, acting as a trusted advisor to senior leaders at broker dealer firms.
• Ensure exceptional client service and satisfaction across all engagements.

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: Director
• Number of Employees: 251-500 employees