Consultant, MR-Distributor

Responsibilities

• Ensure the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients
• Use independent judgment to ensure client materials comply with regulatory requirements
• Work with multiple groups within other departments, clients, and regulatory agencies
• Review and approve investment company and/or private placement material to ensure compliance
• Escalate client issues to Senior Principal Consultant
• Interact with ACA clients, regulatory contacts, and staff concerning advertising review matters
• Monitor compliance and stay current on regulations
• Train client staff as appropriate
• Ensure team processes workflow in a timely manner to meet service levels
• Participate in client onboarding meetings

• 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
• FINRA Series 7 and Series 24 are required.

Below are skills and terms extracted directly from this job posting to improve Applicant Tracking System (ATS) visibility. This unique feature helps candidates tailor their applications more effectively — a feature exclusive to Job Tailor job listings.

• regulatory compliance
• advertising review
• investment company material review
• private placement material review
• client onboarding
• workflow management

• independent judgment
• interpersonal communication
• training
• problem-solving
• collaboration

• FINRA Series 7
• FINRA Series 24