Business Suit and Tie

 

BROKER-DEALER CONSULTANT

Job Title:
Principal Consultant

Office:
New York Metro

Job Description:
This senior position is responsible for working with a team of professionals to lead supervisory control reviews, direct staff to meet client compliance advisory needs, and provide ongoing consulting services to the Company’s annuity clients.

Summary of Responsibilities:

  • Conduct on-site inspections of client supervisory and compliance processes.
  • Provide advice to clients in response to their questions regarding FINRA, SEC, MSRB, state and other regulatory requirements.
  • Develop product and service offerings to meet client and industry needs, formalize examination approaches to carry out compliance reviews, and prepare client deliverables.
  • Review the work of consulting staff to ensure quality standards are maintained to achieve superior level of customer satisfaction on all engagements.
  • Conduct research to formulate Company positions on FINRA, SEC, MSRB, state and other related rules and regulations.
  • Train, supervise, and mentor consulting staff.
  • Identify, develop, and manage client opportunities.
  • Provide strategic direction and progressive leadership to assist in the development and execution of sales and marketing plans.
  • Write articles, make presentations, and/or give speeches on compliance topics.

Job Requirements:

  • Extensive knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, FINRA, MSRB and anti-money laundering rules.
  • Strong oral and written communications, as well as presentation skills.
  • Strong organizational and client-relationship management abilities.
  • Highly motivated; dedicated to upholding the Company’s high quality standards and customer service focus.
  • Ability to work under tight deadlines and be able to prioritize and manage multiple projects and assignments.
  • Five+ years of broker-dealer industry experience serving in a compliance advisory or examination role.
  • Bachelor’s Degree in Business, Finance, Accounting or related discipline.
  • Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet.
  • Willingness to travel 50% of the time.

Compensation & Benefits:
Compensation is commensurate with industry experience and includes a highly competitive base salary, generous bonus plans, commission, and a comprehensive benefit package including medical, dental, LTD, 401(k), and much more.

To Apply:
If you are interested in joining a fast-paced, exciting, and dedicated group of compliance professionals, please send your resume, including salary history and requirements, to Francois Cooke at fcooke@acacompliancegroup.com or fax to ACA at (202) 955-8331.

ACA is committed to Equal Employment Opportunity and to attracting and retaining the most qualified employees regardless of race, national origin, religion, sexual orientation, gender, age or disability.