ACA Compliance Group Holdings, LLC

  • Senior Analyst - Broker-Dealer - Registrations

    Job Locations US-New York | US-Boca Raton | US-New York
    Job ID
    Regular Full-Time
  • Overview

    Position Objective:

    Senior Analyst-Registrations assists ACA consultants in providing regulatory consulting services to broker-dealers and other firms in the investment industry.


    Summary of Responsibilities:

    • Assisting consultants and preparing documentation to be filed for New Member Applications (“NMAs”) and Continuing Member Applications (“CMAs”) with FINRA
    • Assisting clients in creating and submitting appropriate state, SEC and FINRA regulatory filings (e.g. Form U4, Form U5, Form BR, Form BD)
    • Supporting consultants during on-site and off-site mock SEC/FINRA examinations, compliance program reviews, and other consulting engagements
    • Preparing preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables
    • Maintaining internal knowledge resources, such as databases of inspection report comments
    • Researching novel or complex compliance issues
    • Performing email surveillance reviews
    • Participating in professional development activities
    • Performing other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives
    • Studying and earning a Certified Anti-Money Laundering Specialist (CAMS) Certification


    Summary of Minimum Qualifications and Knowledge Requirements:

    • Knowledge of the Securities Act, Securities Exchange Act, FINRA, anti-money laundering, and MSRB rules.
    • Demonstrates professional integrity
    • Dependable, flexible and adaptable to changing client needs and ACA initiatives
    • Ability to work well in a fast paced, small team environment
    • Must be able to work independently, multi-task and prioritize effectively
    • Strong organizational and problem-solving skills with attention to detail  
    • Highly motivated and goal oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks
    • Dedicated to upholding ACA’s high quality standards and customer service focus
    • Ability to establish and maintain effective working relationships with employees and clients
    • Strong oral and written communication skills
    • Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for ACA and/or ACA clients
    • Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet
    • 1-2 years of FINRA/SEC examination experience or similar industry experience
    • 2-3 years of broker-dealer industry experience serving in a compliance advisory or registration role.
    • Bachelor’s Degree required – concentration or previous work experience in business, accounting, finance, criminal justice, law, or economics required
    • Willingness to travel outside of the office – 50 percent


    Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
    Share on your newsfeed