Compliance Analyst - Supervision

The Opportunity:

This position uses independent judgement and discretion to ensure all Registered Representatives adhere to regulatory standards and ACA Foreside compliance policies. The position will include serving as a primary interface with our Registered Representatives, Supervising Principals and Compliance contacts for Supervision matters.

What you’ll do:

• Compile information related to office inspections and provide to inspectors.
• Complete administrative tasks related to personal brokerage accounts for associated persons.
• Enter critical information into databases and ensure data accuracy by following established procedural documentation.
• Review electronic communications sent and received by registered representatives of the firm in various systems. Confirm compliance with policies and procedures and document escalations.
• Utilize third party system to review social media for compliance with FINRA & ACA Foreside policies and procedures and document escalations
• Review of supervisory logs, including gifts and entertainment for compliance with FINRA & ACA Foreside policies/procedures and document escalations.
• Serve as a key resource for dedicated projects, as requested by management
• Troubleshoot problems and investigate issues involving compliance matters.
• Serve as a key resource to clients, representatives and staff including regular participation in group meetings involving compliance and related matters.
• Knowledge and understanding of FINRA, SEC and State rules and regulations and ability to apply as appropriate for this position
• Other tasks and projects as assigned
  
  

To qualify for the role you must have:

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

Skills and attributes for success:

• Experienced user of standard office and regulatory software preferred
• Excellent written and verbal communication skills
• 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
• High attention to detail
  
  

Preferred licenses and certifications:

• FINRA licenses preferred (Series 7 and Series 24), or ability to obtain within one year of hire
  
  

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.