Senior Securities Counsel

Senior Legal Counsel, Labor and Employment, US The Opportunity

The individual in this position is primarily responsible for drafting, reviewing, and negotiating securities contracts and other contracts, including complex and sophisticated agreements involving 40’ Act Distribution. The individual is also responsible for handling a variety of ‘33 Act, ‘34 Act and ‘40 Act regulatory and broker dealer compliance matters and assisting the Legal Department with a variety of projects across a range of areas and will be integral to the efficient operation of the Legal Department.

• Draft, review, and negotiate contracts related to ACA’s ETF and mutual fund distribution business.
• Research and provide legal advice to ACA business regarding FINRA regulatory and broker dealer compliance issues.
• Manage the communication and interaction with ACA clients, service providers, and others regarding contract terms and conditions and other information.
• Keep abreast of regulatory developments that impact ACA’s regulated entities and update contracts and related policies accordingly.
• Draft or assist with company regulatory filings.
• Supervise, train, evaluate, oversee, and provide feedback to junior colleagues.
• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives.

• Juris doctor degree required, licensed in at least one jurisdiction.
• Eight years’ prior legal experience at a law firm, regulatory agency, or in‑house setting; experience in financial services/investment firm or regulatory agency strongly preferred.

• Solid drafting, review, and negotiation skills.
• Demonstrated professional integrity and curiosity.
• Dependable, flexible, and adaptable to new ACA initiatives and changing employee needs.
• Ability to work well in a fast‑paced, small‑team environment.
• Ability to work independently, multi‑task and prioritize effectively.
• Ability to establish and maintain effective working relationships with colleagues.
• Highly motivated and goal oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
• Dedicated to upholding ACA’s high‑quality standards and customer service focus.
• Strong organizational and problem‑solving skills with attention to detail.
• Strong oral and written communication skills.
• Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet.
• Strong knowledge of the FINRA rules and the Investment Company Act of 1940.

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well‑being.

We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

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 Compliance Alpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

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.

Mid‑Senior level

Full‑time

Legal

Business Consulting and Services

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Charlotte, NC $ - $