What are the responsibilities and job description for the Compliance Specialist II (Registration) position at ACA Group?
The Opportunity:
This position is responsible for processing initial and ongoing registration requirements forregistered 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:
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.
This position is responsible for processing initial and ongoing registration requirements forregistered 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
- Assist 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
- Assist 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
- Subject matter expert on specific registration related tasks
- 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
- Other tasks and projects as assigned
- Bachelor’s degree or equivalent work experience
- Minimum of five years of related experience
- FINRA licenses; SIE, 7, 24, 63
- Broker-dealer related compliance experience
- Minimum of one year of prior team leader experience
- This position is responsible for supervising, training, evaluating, overseeing and providing ongoing feedback to junior staff.
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.
