Principal Consultant-Broker Dealer Compliance

ACA Group•Durham, NC

4d•$120,000 - $130,000

About The Position

The Principal Consultant serves as a trusted advisor to ACA Group’s broker-dealer clients, providing regulatory compliance and consulting services to help them navigate complex requirements, mitigate risk, and maintain effective compliance programs. The role provides client consulting on an ongoing or project basis, customizes policies and procedures, leads clients in maintaining compliance programs, and performs onsite examinations, testing, and client visits as needed. It may also involve serving as an outsourced Chief Compliance Officer named on Form BD. The Principal Consultant may assist clients with FINRA New Member or Continuing Membership Applications and support business development with technical expertise and industry knowledge. The role also contributes to webinars, conferences, newsletters, blogs, and other publications; documents work product in the CRM system; reports potential or perceived violations to senior management; and completes other assigned projects. The position requires travel to serve clients across a wide geographic area. ACA Group describes itself as a governance, risk, and compliance advisor in financial services, combining consulting, managed services, and its ComplianceAlpha technology platform with the expertise of former regulators and practitioners.

Requirements

At least 5 years of related industry experience.
Hold Series 7 and Series 24 registrations, or be willing to obtain them if requested.
Experience developing and filing new membership or continuing membership 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 affecting clients and communicate relevant information to them.
Ability to travel to service clients across a wide geographic area.
Ability to follow company-established workflows and collaborate with the team on refinements to internal procedures.
Customer-focused attitude and service orientation.
Self-starter able 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-oriented approach and willingness to do what is needed to complete the work.
Strong relationship-management skills and executive presence.
Strong time-management and organizational skills, with attention to detail.
Strong written and oral communication skills and ability to interact with all levels of management.
Understanding of web-based technology applications and willingness to provide input on enhancements and new solutions.
Ability to work independently and as part of a team.

Responsibilities

Provide consulting to broker-dealer clients on an ongoing or project basis, as assigned.
Customize policies and procedures and guide clients in maintaining best-in-class compliance programs.
Complete onsite examinations, testing, and other onsite client visits as required.
Assist clients with FINRA New Member or Continuing Membership Applications, as assigned.
Support business development by providing technical expertise and industry knowledge.
Assist with webinars, conferences, newsletters, blogs, and other publications.
Conduct oneself professionally.
Report to senior management any potential or perceived violations of applicable laws, rules, or Company policies.
Potentially serve as an outsourced CCO named on Form BD.
Use the CRM system thoroughly to document work product.
Complete other assigned tasks and projects.
Keep abreast of rules, regulations, and current issues affecting clients and disseminate relevant information to them.
Travel as needed to service clients across a wide geographic area.