What are the responsibilities and job description for the Broker-Dealer Marketing Compliance Officer position at ACA Group?
This role is hybris two days a week in the office. The role can be based out of any of these cities : New York, Boston, Chattanooga, Medford / Oregon, Portland / Maine, Chicago, Boca Raton, Miami, San Francisco, Los Angeles, or Dallas.
The Opportunity :
The individual in this position works with and supports supervisors, relationship managers, account owners, and engagement leads for ACA Outsourced Marketing Review (OMR). Consultants typically have supervisory, training, and / or subject matter expertise responsibilities in addition to their expertise and support on OMR engagements. Consultants are expected to maintain up-to-date knowledge regarding the regulations, best practices, and nuances associated with the products and services they engage in.
What you'll do :
- Support and / or lead OMR projects with other supervisors, relationship managers, account owners, and project leads
- Conduct reviews of clients' books and records and other documents
- Train staff on regulations, policies, and procedures in one-on-one and small-group settings
- Oversee client relationships, including onboarding new clients, setting scope and workflow expectations, communicating findings, tracking budgets, reviewing invoices, answering questions, and ensuring client expectations and contractual obligations are met
- Analyze potential regulatory matters and assist in interpreting complicated and nuanced compliance deficiencies
- Draft and finalize reports summarizing ACA's work and findings and review drafts prepared by analysts
- Participate in training and career development via assigned courses / curriculums, supervisor instruction, and other training opportunities
- Supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
- Manage and support thought leadership and other initiatives to promote ACA's sales and marketing efforts.
- Perform other ad-hoc work / special projects as necessary to support ACA's various client and internal initiatives including, but not limited to : training, public speaking engagements, attending conferences and roundtable events, and onsite client engagements
To qualify for the role you must have :
Ideally, you'll also have :
Skills and attributes for success :
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 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 businesses. 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 protected veteran status, or any other legally protected basis, in accordance with applicable law.
