Compliance Specialist II - Registration

ACA Group

Location: Pittsburgh, Portland (Maine) or Remote

Overview

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.

Responsibilities

• 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
  
  

Reports To: Senior Compliance Specialist

Business Unit/Function: Fund Distribution (ACA Foreside)

Department: Registration

Required Education And Experience

• Bachelor’s degree or equivalent work experience
• Minimum of five years of related experience
  
  

Preferred Education And Experience

• Broker-dealer related compliance experience
• Minimum of one year of prior team leader experience
  
  

Required Skills And Attributes

• Familiarity with FINRA’s Web CRD system and related forms as well as general understanding common business software systems
• In-depth understanding of SEC, FINRA and state rules that govern broker-dealer, office and representative supervision
• Experienced user of standard office and regulatory software preferred
• Excellent written and verbal communication skills
• Strong interpersonal and collaboration skills
• Excellent analytical, reasoning and problem-solving skills
• Ability to understand, interpret and communicate rules and regulations
• Ability to prioritize workflow and meet multiple deadlines with limited supervision
• Self-starter and team player with the ability to work with limited supervision
• High attention to detail
• Ability to skillfully interact with clients
• Required Licenses and Certification(s)
• FINRA licenses; SIE, 7, 24, 63
  

Supervisory Responsibility: Yes

Supervisory Duties Summary: This position is responsible for supervising, training, evaluating, overseeing and providing ongoing feedback to junior staff.

To apply: https://careers.acaglobal.com/ and search for "Registration Team Lead"