Consultant, MR-Distributor – Marketing Review
- Job Description:
- Ensures the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients
- Works independently in the review and approval of investment company and/or private placement material
- Escalates client issues to Senior Principal Consultant, as appropriate
- Works with the team to ensure compliance with FINRA/SEC
- Daily interaction with ACA clients and regulatory contacts
- Monitor compliance and stay current on FINRA, SEC, and internal standards
- Train client staff, as appropriate
- Participates in client on-boarding meetings for new team assigned clients
- Requirements:
- Bachelor’s degree, preferably with an emphasis in finance
- Minimum 3 years’ related compliance experience
- Thorough understanding of SEC and FINRA and other complex advertising rules that govern public and private investment products
- Benefits:
- medical and dental coverage
- 401(k) plans
- paid time off options
- flexible work environment
- ACA Paid Holidays
- Summer Fridays
- Personal/Family Care
- Student Debt Forgiveness
- Pet Insurance
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