Compliance Specialist (Registration) Jobs

Date: May 23, 2023

Location: Remote Location, US

Company: ACA Group

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:

• Prepare background information and communicate critical deadlines and instructions
• Enter critical information into databases and maintain detailed documentation according to established procedures
• Knowledge and understanding of FINRA, SEC, and State rules and regulations and ability to apply as appropriate for this position
• Troubleshoot problems and investigate issues involving registration
• Assist candidates with regulatory examination and continuing education arrangements
• Other tasks and projects as assigned
• Assist candidates with onboarding and understanding of various registration requirements pursuant to FINRA, State, and ACA Foreside policy
• Serve as a key resource to clients, representatives, and staff including regular participation in group meetings involving registration and related matters
• Follow established procedures to process FINRA filings; U4s, amendments, orU5 terminations for representatives and associated persons

To qualify for the role you must have:

• Minimum 1 year of relevant work experience, preferably in financial service
• Bachelor’s degree or equivalent work experience

Skills and attributes for success:

• High attention to detail
• Strong interpersonal and collaboration skills
• Ability to prioritize and meet multiple deadlines
• Self-starter and team player with the ability to work with limited supervision
• Excellent written and verbal communication skills
• Experienced user of standard office and regulatory software preferred

What working at ACA offers:

We offer 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 also offer 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.

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.