Consultant, MR-Distributor – Marketing Review
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
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
Apply Now
Apply Now
• 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
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
Apply Now
Apply Now