FINOP Staff Principal Consultant

This role will be based out of one of our office locations (New York, Pittsburgh, Chattanooga, Portland/Maine, or Medford/Oregon) or out of Los Angeles, San Francisco, Chicago, Boca Raton, Miami, or Dallas (where ACA plans to open offices soon). You will work on a hybrid schedule, spending two days a week in the office.

 

The Opportunity:

As a Principal Consultant for our FS Advisory Broker Dealer FinOp Group, you will be part of a tenured team of professionals who are providing consulting and accounting services for ACA Clients as well as maintaining financial records in compliance with federal, state, and local requirements.

 

What you’ll do:

• Represent ACA Group as a FinOp SME and may be requested to act as a principal for clients.
• Use CRM to track open tasks, calendar, and client-specific data.
• Prepare and perform various accounting functions to maintain clients’ account books and records.
• Enter accurate and appropriate client financial data into the computer system on a daily basis.
• Perform all appropriate functions for the preparation, filing, and mailing of net capital computations, focus reports, and general accounting.
• Maintain clients’ accounting files as needed.
• Manage clients’ accounting activities and notify appropriate regulatory agencies when needed.
• Prepare client financial reports for management as required.
• Analyze client financial statements for upward or downward trends, unusual or suspicious account activity, or activities in violation of SEC Net Capital Rules.
• Follow up with clients to ensure timely reporting of financials to FINRA/SEC.
• Respond to regulatory inquiries regarding net capital violations and other financial-related questions.
• Compile and finalize year-end reports in a timely manner.
• Apply knowledge of accounting principles on a regular basis.
• Manage day-to-day operations and client relationships with accounting & FinOp clients.
• Scan, manage, and organize office files and documents.
• Plan and organize priorities while maintaining the highest level of service possible to clients and managing projects and goals within deadlines.
• Attend conferences and meetings as requested.
• Travel required; and
• Perform other duties as assigned.
• It’s highly desired for candidates to reside in Boston, Chicago, or Pittsburgh.
• Note: This role will likely move to a hybrid role in the future.

 

To qualify for the role, you will have:

• A bachelor’s degree in accounting or a related field.
• Four years+ accounting experience
• Series 27 or Series 28

 

Ideally, you’ll also have:

• Specialized accounting work experience in a broker dealer 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, 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.

 

About ACA:

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 ComplianceAlpha® technology platform with the sp