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. 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.

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.

Requirements

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

Qualifications

• Experience with WorkDay
• Series 27 license

Skills

• 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

• Medical and dental coverage
• 401(k) plans
• Wide range of paid time off options
• Flexible work environment
• Time off for designated ACA Paid Holidays
• Summer Fridays
• Personal/Family Care leave
• Other leaves of absence as needed
• Student Debt Forgiveness
• Pet Insurance

Pay

Salary range: $85,000‑$90,000.