Compliance Specialist II (Registration)
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Key skills for this role
About the Role
ACA Group is seeking a Compliance Specialist II to manage registration requirements for broker-dealer representatives. The role requires a bachelor's degree and five years of related experience, with FINRA licenses preferred.
Key Skills for This Role
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
Requirements
- Bachelor's degree or equivalent work experience
- Minimum of five years of related experience
- Familiarity with FINRA's Web CRD system and related forms
- In depth understanding of SEC, FINRA and state rules governing broker dealer supervision
- Excellent written and verbal communication skills
- Strong interpersonal and collaboration skills
- Excellent analytical, reasoning and problem solving skills
- Ability to prioritize workflow and meet multiple deadlines with limited supervision
- High attention to detail
Full Job Posting
The Opportunity
- 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.
What you'll do
- 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
To Qualify for the role, you will have
- Bachelor's degree or equivalent work experience
- Minimum of five years of related experience
Preferred Licenses And Certification(s)
- FINRA licenses; SIE, Series 7 and 24 is a plus, but we are open to having the selected candidate obtain these licenses shortly after hire.
Skills and Attributes for Success
- 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
Salary Range
- $70,000 plus bonus
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