Accountant (Series 27/Broker-Dealer)

About the Role

As FINOP, you will ensure regulatory compliance and accounting services to the ACA/Foreside in-house Broker/Dealers.

Responsibilities

• Oversee the preparation and maintenance of accurate financial statements and reports in compliance with GAAP and FINRA/SEC regulations.
• Interactions with FINRA/SEC regulators are required.
• Oversee daily financial operations of the ACA/Foreside in-house Broker/Dealers.
• Collaborate with cross-functional teams to enhance financial processes and implement best practices.
• Monitor and ensure compliance with SEC regulations and reporting requirements related to Series 27.
• Provide financial analysis and insights to support business decisions and strategy development.
• Interaction with clients for various due diligence and onboarding meetings.

Qualifications

• Bachelor’s degree in accounting or related field.
• Minimum of four (4) years of accounting experience, with experience in a broker dealer environment.

Preferred Qualifications

• Experience with WorkDay.

Required Licenses and Certifications

• Series 27.

Skills and Attributes

• Ability to exercise discretion and make independent judgments on matters of significance.
• Demonstrated professional integrity.
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
• Ability to work well in a fast-paced, small-team environment.
• Ability to work independently, multi-task, and prioritize effectively.
• Ability to establish and maintain effective working relationships with colleagues and clients.
• Highly motivated and goal-oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
• Dedicated to upholding ACA’s high-quality standards and customer service focus.
• Strong organizational and problem-solving skills with attention to detail.
• Strong oral and written communication skills.
• Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet.

Benefits

• Competitive compensation package with performance-based rewards.
• Medical and dental coverage.
• 401(k) plans.
• Wide range of paid time off options, including ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence.
• Unique benefits such as Student Debt Forgiveness and Pet Insurance.

Pay

Salary Range: $85,000 - $90,000.

About ACA

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

Commitment to Diversity and Inclusion

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation, and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or protected veteran status, or any other legally protected basis, in accordance with applicable law.