Trellis Group
Location:
FL, US
Company:
ACA Group
The Opportunity: This position assists the Outsourced Marketing Review (OMR) team to ensure compliance of marketing materials each year for ACA’s distributor and advisory clients. Materials include fact sheets, websites, reprints, presentations, reports, letters and internal communications.
What you’ll do:
Assist in the review and approval of investment company and private placement material to ensure compliance with regulatory requirements for investment adviser and broker-dealer clients
Complete assigned projects by organizing and coordinating information and requirements from various ACA systems and providing information to other departments for reporting purposes.
Work with other team members, assisting with filing requirements as defined by FINRA Rules.
Frequent interaction with ACA clients and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
Monitor compliance and stay current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform
Assist with preparing and updating advertising-related procedures and manuals
Other tasks and duties as assigned
Train staff and clients, as appropriate
To qualify for the role you must have:
Bachelor’s degree, preferably with an emphasis in finance
1-2 years’ previous work experience, financial services environment helpful
Skills and attributes for success:
Ability to interpret rules and regulations and communicate them to others
Strong organizational skills, including the capacity to multi-task
Excellent analytical, reasoning and problem-solving skills
Excellent written and verbal communication skillsExcellent project management skills
Ability to prioritize and meet multiple deadlines
Ability to work independently under limited supervision, but also able work collaboratively as part of a team
Strong computer skills, including experience with Excel, Word and databases
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.
#J-18808-Ljbffr
FL, US
Company:
ACA Group
The Opportunity: This position assists the Outsourced Marketing Review (OMR) team to ensure compliance of marketing materials each year for ACA’s distributor and advisory clients. Materials include fact sheets, websites, reprints, presentations, reports, letters and internal communications.
What you’ll do:
Assist in the review and approval of investment company and private placement material to ensure compliance with regulatory requirements for investment adviser and broker-dealer clients
Complete assigned projects by organizing and coordinating information and requirements from various ACA systems and providing information to other departments for reporting purposes.
Work with other team members, assisting with filing requirements as defined by FINRA Rules.
Frequent interaction with ACA clients and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
Monitor compliance and stay current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform
Assist with preparing and updating advertising-related procedures and manuals
Other tasks and duties as assigned
Train staff and clients, as appropriate
To qualify for the role you must have:
Bachelor’s degree, preferably with an emphasis in finance
1-2 years’ previous work experience, financial services environment helpful
Skills and attributes for success:
Ability to interpret rules and regulations and communicate them to others
Strong organizational skills, including the capacity to multi-task
Excellent analytical, reasoning and problem-solving skills
Excellent written and verbal communication skillsExcellent project management skills
Ability to prioritize and meet multiple deadlines
Ability to work independently under limited supervision, but also able work collaboratively as part of a team
Strong computer skills, including experience with Excel, Word and databases
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.
#J-18808-Ljbffr