Broker-Dealer FINOP & Compliance Lead
Listed on 2026-10-10
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Finance & Banking
Regulatory Compliance Specialist
ACA Group is seeking a FINOP to ensure regulatory compliance and accounting services for ACA/Foreside in-house Broker/Dealers. You will oversee financial reporting in line with GAAP and FINRA/SEC requirements, and coordinate with regulators as needed.
The role includes daily financial operations oversight, collaboration across teams to optimize processes, and adherence to SEC rules for Series 27. Strong analytical and communication skills are essential.
As a Broker-Dealer FINOP & Compliance Lead, you will play an important part at ACA Group in Portland, ME, United States.
For the Broker-Dealer FINOP & Compliance Lead position at ACA Group, we are reviewing applications now.
Step into the Broker-Dealer FINOP & Compliance Lead role at ACA Group in Portland, ME, United States and grow with us.
Please review the full job details above before applying.
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