Senior Compliance Analyst

The Opportunity:

Responsible for supporting Principal Compliance Consultants in the delivery of expert advice to BD Signature Program members regarding FINRA, SEC, MSRB and state regulatory requirements and regulatory best practices. 

 

What you’ll do:

• Interact with clients on a daily basis and provide:

• registration consulting
• compliance services consulting (regulatory requirements associated with the various services offered by the Signature Program and the delivery of those services);

• Provide registration services at the firm and individual level, including but not limited to Form U4s, U5s, Form BD amendments, Form BRs, MSRB Form MA and MA-I.
• Delegate WebCRD filings to CRD Specialist as needed;
• Launch and track completion of the Annual Compliance Questionnaire, Firm Element Needs Analysis Questionnaire and other regulatory requirement tools delivered via Quest;
• Prepare written Firm Element Training Plans;
• Assign training courses and track completion;
• Assist in preparing written materials for annual compliance meetings;
• Participate in periodic calls and video conferences with clients;
• Assist Compliance Consultants in updating and maintaining compliance manuals;
• Participate in, or contribute to, articles, blogs and webinars as assigned;
• Maintain internal documents with current data;
• Use CRM to manage open task, track clients and maintain data integrity;
• Work with Compliance Consultants on open projects;
• Assist with Signature Program projects and other office projects as assigned;
• Use creative thinking to brainstorm products and services that could add value to client relationships;
• Plan and organize priorities while maintaining highest level service possible to clients, and managing projects and goals within deadlines;
• Reach department goals and deadlines;
• Meet performance expectations (professionalism, ethics, courtesy);
• Manage project timeline and deadlines as set by Manager/Supervisor;
• Perform other duties as assigned.

 

To qualify for the role, you must have:

• Bachelor’s degree or equivalent
• Prior brokerage, compliance or equivalent financial services experience required
• Series 7 and 24 a plus

Skills and attributes for success:

• Planning skills
• Strong written communication skills.
• Excellent project management skills.
• Proofreading ability
• 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 and comfortable working in a tech enablement environment

 

What working at ACA offers:

 

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, Per