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Date: Jul 8, 2026
Location: Portland, ME, US TX, US Pittsburgh, PA, US IL, US Chattanooga, TN, US MA, US CA, US Medford, OR, US Durham, NC, US FL, US
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Company: ACA Group
The Opportunity:
This position is responsible for servicing our broker-dealer compliance consulting clients.
What you’ll do:
Provide consulting to our broker-dealer clients on an ongoing or project basis, as assigned.
Customizing policies and procedures and leading clients in maintaining best in class compliance programs
Complete onsite examinations, testing, and other onsite client visits as required
Assist clients in completing FINRA New Member or Continuing Membership Application, as assigned.
Assist with business development by providing technical expertise and industry knowledge
Assist with webinars, conferences, newsletters, blogs, and other publications
Conduct oneself in a professional manner
Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
Potentially being named as CCO on Form BD (outsourced CCO)
Thorough use of CRM system to document work product
Other tasks and projects as assigned
To qualify for the role you must have:
5+ years related industry experience
Hold Series 7 and 24 registrations or be willing to obtain such if requested
Experience in development and filing of new membership or continuing member applications
Bachelor’s degree, preferably in a related field
Advanced knowledge of Federal and State securities regulation and interpretation
Ability to keep abreast of rules, regulations, and current issues impacting our clients and to be able to disseminate this information to clients
Ability to travel, with responsibility for servicing clients located across a wide geographic area
Proven ability to work within company-established workflows and collaborate with the team on refinements to internal procedures
Customer-focused attitude
Self-starter and ability to organize workload and meet deadlines
Ability to handle multiple priorities efficiently
Advanced working knowledge of computer systems, database systems, paperless data retention and email
Team player mentality. Willing to do what it takes to get the job done
Strong relationship management skills and executive presence
Strong time management and organization skills with strong attention to detail
Strong written communication and oral communication skills and ability to interface with all levels of management
Skills and attributes for success:
Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
Excellent oral and written communication skills
Detail-oriented and multi-task capability
Independent Self-Starter – the ability to organize workload and meet deadlines
Service orientation with proven ability to provide superior customer service
Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
Ability to work both independently and as part of a team
Customer-focused attitude
Time management and organization skills, with a strong attention to detail
Strong written communication and oral communication skills
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 specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
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 basis, in accordance with applicable law.
Salary Range: $120K-$130K plus bonus
Nearest Major Market: Portland Maine
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