Senior Compliance Analyst, MR-Distributor

The Opportunity:

Responsible for the review and approval of Fund marketing materials according to FINRA/SEC Communication with the Public rules for ACA Foreside Distribution clients. Materials include, but are not limited to, fact sheets, websites, reprints, presentations, reports, letters, social media and internal communications.

What you’ll do:

• • Perform the review and S24 principal approval (as needed) of Mutual Fund, ETF, Closed End Funds and Private Placement material to ensure compliance with FINRA Communications with the Public Rules.
  • Follow policies and procedures to ensure compliance.
  • Work with other team members, assisting with filing requirements as defined by FINRA Rules.
  • Frequent interaction with ACA Distribution clients and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
  • Monitor compliance and stay current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform
  • Other tasks and duties as assigned
  • Train staff and clients, as appropriate
  
  

To Qualify for the role, you will have:

• • Bachelor’s degree, or relevant experience
  • 5 years’ previous work experience, financial services environment helpful

Preferred Licenses and Certification(s)

• • SIE / FINRA Series 7 / 24

• • 3 years experience performing ad review.

Skills and Attributes for Success:

• • Ability to interpret rules and regulations and communicate them to others
  • Strong organizational skills, including the capacity to multi-task
  • Excellent analytical, reasoning and problem-solving skills
  • Excellent written and verbal communication skills
  • Excellent project management skills
  • Ability to prioritize and meet multiple deadlines
  • Ability to work independently under limited supervision, but also able work collaboratively as part of a team
  • Attention to detail
  • Ability to work independently under limited supervision, but also able work collaboratively as part of a team
  • Attention to detail
  • Strong computer skills, including experience with Excel, Word and databases

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 coverage fully funded by ACA for employees and their family as well as access to Maternity & Fertility and Wellness programs. ACA also provides Personal Accident Insurance, Group Term Life Insurance, Employee Discount programs and Employee Resource Groups. You’ll be granted time off for designated ACA Paid Holidays, Privilege Leave, Casual/Sick Leave, and other leaves of absence to support your physical, financial and emotional well-being.

What we commit to:

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected status