Compliance Officers

This position uses independent judgement and discretion to ensure all Registered Representatives adhere to regulatory standards and ACA Foreside compliance policies. The position will include serving as a primary interface with our Registered Representatives, Supervising Principals and Compliance contacts for Supervision matters.

Compile information related to office inspections and provide to inspectors. Complete administrative tasks related to personal brokerage accounts for associated persons. Enter critical information into databases and ensure data accuracy by following established procedural documentation. Confirm compliance with policies and procedures and document escalations. Utilize third party system to review social media for compliance with FINRA & ACA Foreside policies and procedures and document escalations Review of supervisory logs, including gifts and entertainment for compliance with FINRA & ACA Foreside policies/procedures and document escalations. Serve as a key resource for dedicated projects, as requested by management Troubleshoot problems and investigate issues involving compliance matters. Serve as a key resource to clients, representatives and staff including regular participation in group meetings involving compliance and related matters. Other tasks and projects as assigned

Bachelor’s degree or equivalent work experience Minimum 1 year of relevant work experience, preferably in financial services Experienced user of standard office and regulatory software preferred Self-starter and team player with the ability to work with limited supervision 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.

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.

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: $60K plus bonus