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Regulatory Compliance Specialist – FINRA & SEC Registrations
Job in
Green Bay, Brown County, Wisconsin, 54311, USA
Listed on 2026-07-14
Listing for:
ACA Group
Full Time
position Listed on 2026-07-14
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
ACA Group is seeking a registration specialist to manage onboarding and ongoing registration for registered representatives and associated persons of affiliated broker‑dealers. You will serve as the primary interface for all registration matters and oversee team members involved in the process.
You will ensure timely processing of FINRA and State registrations, assist with regulatory exams and continuing education, and maintain thorough documentation across databases, while applying FINRA, SEC,
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