Consultant, MR-Distributor (Marketing Review)
ACA Group, Medford, Oregon, United States, 97504
The Opportunity
This position ensures the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients. It requires independent judgment and discretion to ensure client materials comply with applicable regulatory requirements and necessitates working with multiple groups across other departments, clients, and regulatory agencies.
What you’ll do
Works independently in the review and approval of investment company and/or private placement material to ensure compliance with regulatory requirements for complex clients.
Escalates client issues to Senior Principal Consultant, as appropriate.
Works with the team to ensure compliance with FINRA/SEC and department policy for consistency of review.
Daily interaction with ACA clients, regulatory contacts, and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues.
Monitors compliance and stays current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform.
Trains client staff, as appropriate.
Ensures the team processes all workflow in a timely manner to meet department stated service levels.
Monitors workflow daily and addresses the team as applicable to ensure stated service levels are met.
Participates in client onboarding meetings for new team assigned clients.
To qualify for the role, you must have
Bachelor’s degree, preferably with an emphasis in finance.
Minimum 3 years’ related compliance experience.
Thorough understanding of SEC and FINRA and other complex advertising rules that govern public and private investment products.
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.
Leadership qualities for establishing role as point-of-contact for Foreside’s clients.
Excellent written and verbal communication skills.
Excellent project management skills.
Ability to prioritize and meet multiple deadlines.
Attention to detail.
What working at ACA offers We offer a competitive compensation package that rewards performance and recognizes the value you bring. Our Total Rewards package includes medical and dental coverage, 401(k) plans, a wide range of paid time off options, and a flexible work environment. You’ll also receive time off for ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence to support your well‑being. Unique benefits include 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 a 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.
Salary Range: $80 - 90K
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What you’ll do
Works independently in the review and approval of investment company and/or private placement material to ensure compliance with regulatory requirements for complex clients.
Escalates client issues to Senior Principal Consultant, as appropriate.
Works with the team to ensure compliance with FINRA/SEC and department policy for consistency of review.
Daily interaction with ACA clients, regulatory contacts, and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues.
Monitors compliance and stays current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform.
Trains client staff, as appropriate.
Ensures the team processes all workflow in a timely manner to meet department stated service levels.
Monitors workflow daily and addresses the team as applicable to ensure stated service levels are met.
Participates in client onboarding meetings for new team assigned clients.
To qualify for the role, you must have
Bachelor’s degree, preferably with an emphasis in finance.
Minimum 3 years’ related compliance experience.
Thorough understanding of SEC and FINRA and other complex advertising rules that govern public and private investment products.
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.
Leadership qualities for establishing role as point-of-contact for Foreside’s clients.
Excellent written and verbal communication skills.
Excellent project management skills.
Ability to prioritize and meet multiple deadlines.
Attention to detail.
What working at ACA offers We offer a competitive compensation package that rewards performance and recognizes the value you bring. Our Total Rewards package includes medical and dental coverage, 401(k) plans, a wide range of paid time off options, and a flexible work environment. You’ll also receive time off for ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence to support your well‑being. Unique benefits include 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 a 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.
Salary Range: $80 - 90K
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