Compliance Analyst - Registration

 

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:

• 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 filings; U4s, amendments, orU5 terminations for representatives and associated persons
• Assist candidates with regulatory examination and continuing education arrangements
• Enter critical information into databases and maintain detailed documentation according to established procedures
• 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
• 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 service

 

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 Certification(s):

• FINRA licenses preferred 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.