Principal Consultant

The Opportunity:

This position is responsible for servicing our broker-dealer compliance consulting clients.

What you’ll do:

• Provide consulting to our broker-dealer clients on an ongoing or project basis, as assigned.
• Customize policies and procedures and lead clients in maintaining best in class compliance programs
• Complete onsite examinations, testing, and other onsite client visits as required
• Absorb clients in completing FINRA New Member or Continuing Membership Application, as assigned.
• Absorb business development by providing technical expertise and industry knowledge
• Absorb with webinars, conferences, newsletters, blogs, and other publications
• Conduct oneself in a professional manner
• Report 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

To qualify for the role you must have:

• 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

Skills and attributes for success:

• Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
• Excellent oral and written communication skills
• Detail-oriented and multi-task capability
• Independent Self-Starter – the ability to organize workload and meet deadlines
• Service orientation with proven ability to provide superior customer service
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
• Ability to work both independently and as part of a team
• Customer-focused attitude
• Time management and organization skills, with a strong attention to detail
• Strong written communication and oral communication skills

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.

What we commit to:

• 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.

Salary Range:

$120K-$130K plus bonus