Compliance Specialist II (Registration)
The Opportunity
This position is responsible for processing initial and ongoing registration requirements for registered representatives and associated persons of affiliated broker-dealers. The position will include serving as the primary interface with registered representatives for registration matters.
What you’ll do
- Oversight of internal employees typically in a Team Leader role
- Aid candidates with onboarding and understanding of various registration requirements pursuant to FINRA, State and ACA Foreside policy
- Prepare background information and communicate critical deadlines and instructions
- Follow established procedures to process FINRA and State registration or termination of registration for representatives and associated persons
- Aid candidates with regulatory examination and continuing education arrangements
- Enter critical information into databases and maintain detailed documents and documentation according to established protocol
- Troubleshoot problems and investigate issues involving registration
- Serve as a key resource to clients, representatives and staff including regular participation in group meetings involving registration and related matters
- Serve as a team resource that assists management with requests for information
- Assist with project oversight
- Allocate assignments and projects
- Review and approval of certain registration related documents prior to final submission
- Knowledge and understanding of FINRA, SEC and State rules and regulations and ability to apply as appropriate for this position
To Qualify for the role
- Bachelor’s degree or equivalent work experience
- Minimum of five years of related experience
- Preferred Licenses And Certification(s ): FINRA licenses; SIE, Series 7 and 24 is a plus, but we are open to having the selected candidate obtain these licenses shortly after hire.
Skills and Attributes for Success
- Familiarity with FINRA’s Web CRD system and related forms as well as general understanding common business software systems
- In-depth understanding of SEC, FINRA and state rules that govern broker-dealer, office and representative supervision
- Experienced user of standard office and regulatory software preferred
- Excellent written and verbal communication skills
- Strong interpersonal and collaboration skills
- Excellent analytical, reasoning and problem-solving skills
- Ability to understand, interpret and communicate rules and regulations
- Ability to prioritize workflow and meet multiple deadlines with limited supervision
- Self-starter and team player with the ability to work with limited supervision
- High attention to detail
- Ability to skillfully interact with clients
What working at ACA offers
- Cash compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business
- 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
- Unique benefits such as Student Debt Forgiveness and Pet Insurance
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.
About the Role
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 offer unique benefits such as Student Debt Forgiveness and Pet Insurance.
Pay
$70,000 plus bonus