Principal Consultant

ACA Group • Durham, NC

2d

About The Position

This position is responsible for servicing our broker-dealer compliance consulting clients. The role involves providing consulting to broker-dealer clients on an ongoing or project basis, customizing policies and procedures, and leading clients in maintaining best-in-class compliance programs. Responsibilities include completing onsite examinations, testing, and other client visits, assisting clients with FINRA New Member or Continuing Membership Applications, and supporting business development through technical expertise and industry knowledge. The role also involves assisting with webinars, conferences, newsletters, blogs, and other publications, conducting oneself professionally, reporting to senior management, potentially being named as CCO on Form BD, and thoroughly using the CRM system to document work product. Other tasks and projects may be assigned.

Requirements

• 5+ years related industry experience
• Hold Series 7 and 24 registrations or be willing to obtain such if requested
• Experience in development and filing of new membership or continuing member applications
• Bachelor’s degree, preferably in a related field
• Advanced knowledge of Federal and State securities regulation and interpretation
• Ability to keep abreast of rules, regulations, and current issues impacting our clients and to be able to disseminate this information to clients
• Ability to travel, with responsibility for servicing clients located across a wide geographic area
• Proven ability to work within company-established workflows and collaborate with the team on refinements to internal procedures
• Customer-focused attitude
• Self-starter and ability to organize workload and meet deadlines
• Ability to handle multiple priorities efficiently
• Advanced working knowledge of computer systems, database systems, paperless data retention and email
• Team player mentality. Willing to do what it takes to get the job done
• Strong relationship management skills and executive presence
• Strong time management and organization skills with strong attention to detail
• Strong written communication and oral communication skills and ability to interface with all levels of management

Nice To Haves

• Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions

Responsibilities

• Provide consulting to our broker-dealer clients on an ongoing or project basis, as assigned.
• Customizing policies and procedures and leading clients in maintaining best in class compliance programs
• Complete onsite examinations, testing, and other onsite client visits as required
• Assist clients in completing FINRA New Member or Continuing Membership Application, as assigned.
• Assist with business development by providing technical expertise and industry knowledge
• Assist with webinars, conferences, newsletters, blogs, and other publications
• Conduct oneself in a professional manner
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
• Potentially being named as CCO on Form BD (outsourced CCO)
• Thorough use of CRM system to document work product
• Other tasks and projects as assigned

Benefits

• competitive compensation package
• performance-based rewards
• medical and dental coverage
• 401(k) plans
• wide range of paid time off options
• flexible work environment
• designated ACA Paid Holidays
• Summer Fridays
• Personal/Family Care
• other leaves of absence
• Student Debt Forgiveness
• Pet Insurance

What This Job Offers

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