[Hiring] Principal Consultant @ACA Group

Role Description

The Principal Consultant serves as a trusted advisor to ACA Group's broker-dealer clients, delivering regulatory compliance and consulting services that help firms navigate complex regulatory requirements, mitigate risk, and maintain effective compliance programs.

• 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.
• Assist clients in completing FINRA New Member or Continuing Membership Application, as assigned.
• Assist with business development by providing technical expertise and industry knowledge.
• Assist with webinars, conferences, newsletters, blogs, and other publications.
• Conduct oneself in a professional manner.
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies.
• Potentially be named as CCO on Form BD (outsourced CCO).
• Thorough use of CRM system to document work product.
• Other tasks and projects as assigned.

Qualifications

• 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 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.

Requirements

• 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.

Benefits

• Competitive compensation package based on performance.
• 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, and other leaves of absence.
• Unique benefits such as Student Debt Forgiveness and Pet Insurance.