ACA Group logo
ACA Group

ACA Group (“ACA”) is the leading governance, risk, and compliance (GRC) advisor in financial services.

Consultant, MR-Distributor – Marketing Review

MarketingMarketingFull TimeRemoteSeniorTeam 1,001-5,000Since 2002H1B No SponsorCompany SiteLinkedIn

Location

Arizona + 19 moreAll locations: Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Illinois, Maine, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Maryland, Massachusetts, Pennsylvania, Tennessee, Texas, Utah

Posted

44 days ago

Salary

$80K - $90K / year

Seniority

Senior

Bachelor Degree3 yrs expEnglish

Job Description

• Ensures the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients • Works independently in the review and approval of investment company and/or private placement material • Escalates client issues to Senior Principal Consultant, as appropriate • Works with the team to ensure compliance with FINRA/SEC • Daily interaction with ACA clients and regulatory contacts • Monitor compliance and stay current on FINRA, SEC, and internal standards • Train client staff, as appropriate • Participates in client on-boarding meetings for new team assigned clients

Job Requirements

  • 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

Benefits

  • medical and dental coverage
  • 401(k) plans
  • paid time off options
  • flexible work environment
  • ACA Paid Holidays
  • Summer Fridays
  • Personal/Family Care
  • Student Debt Forgiveness
  • Pet Insurance

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