National Society of Compliance Professionals

Compensation

Full Description

ACA Group Location: Pittsburgh, Portland (Maine) or Remote Overview This position is responsible for processing initial and ongoing registration requirements for registered representatives and associated persons of affiliated broker-dealers. The position will include serving as the primary interface with registered representatives for registration matters. Responsibilities • Oversight of internal employees typically in a Team Leader role • Assist candidates with onboarding and understanding of various registration requirements pursuant to FINRA, State and ACA Foreside policy • Prepare background information and communicate critical deadlines and instructions • Follow established procedures to process FINRA and State registration or termination of registration for representatives and associated persons • Assist candidates with regulatory examination and continuing education arrangements • Enter critical information into databases and maintain detailed documents and documentation according to established protocol • Troubleshoot problems and investigate issues involving registration • Serve as a key resource to clients, representatives and staff including regular participation in group meetings involving registration and related matters • Serve as a team resource that assists management with requests for information • Subject matter expert on specific registration related tasks • Assist with project oversight • Allocate assignments and projects • Review and approval of certain registration related documents prior to final submission • Knowledge and understanding of FINRA, SEC and State rules and regulations and ability to apply as appropriate for this position • Other tasks and projects as assigned Reports To: Senior Compliance Specialist Business Unit/Function: Fund Distribution (ACA Foreside) Department: Registration Required Education And Experience • Bachelor’s degree or equivalent work experience • Minimum of five years of related experience Preferred Education And Experience • Broker-dealer related compliance experience • Minimum of one year of prior team leader experience Required Skills And Attributes • Familiarity with FINRA’s Web CRD system and related forms as well as general understanding common business software systems • In-depth understanding of SEC, FINRA and state rules that govern broker-dealer, office and representative supervision • Experienced user of standard office and regulatory software preferred • Excellent written and verbal communication skills • Strong interpersonal and collaboration skills • Excellent analytical, reasoning and problem-solving skills • Ability to understand, interpret and communicate rules and regulations • Ability to prioritize workflow and meet multiple deadlines with limited supervision • Self-starter and team player with the ability to work with limited supervision • High attention to detail • Ability to skillfully interact with clients • Required Licenses and Certification(s) • FINRA licenses; SIE, 7, 24, 63 Supervisory Responsibility: Yes Supervisory Duties Summary: This position is responsible for supervising, training, evaluating, overseeing and providing ongoing feedback to junior staff. To apply: https://careers.acaglobal.com/ and search for "Registration Team Lead"