Consultant, MR-Distributor

This is a fully remote position, open to applicants in Colorado.

📋 Description

• Conduct independent reviews and approvals of investment company and/or private placement materials for intricate clients.

• Appropriately escalate client concerns to the Senior Principal Consultant.

• Ensure adherence to FINRA/SEC regulations and departmental policies for uniform reviews.

• Engage daily with ACA clients, regulatory representatives, and team members regarding advertising review topics.

• Offer advice and support to identify and mitigate compliance challenges.

• Oversee compliance and stay updated on FINRA, SEC, and internal standards.

• Provide training to client personnel as necessary.

• Guarantee that team workflows are processed promptly to meet departmental service expectations.

• Supervise daily operations and address team-related issues as needed.

• Participate in onboarding meetings for newly assigned clients.

⛳️ Requirements

• Bachelor's degree, ideally with a focus on finance.

• At least 3 years of relevant compliance experience.

• Comprehensive knowledge of SEC, FINRA, and other intricate advertising regulations governing public and private investment offerings.

• Possession of FINRA Series 7 and Series 24 certifications is mandatory.

• Capacity to interpret regulations and convey them effectively to others.

• Strong organizational abilities and adeptness at multitasking.

• Exceptional analytical, reasoning, and problem-solving capabilities.

• Leadership traits to establish oneself as the primary contact for clients.

• Outstanding written and verbal communication skills.

• Excellent project management proficiency.

• Ability to prioritize tasks and meet various deadlines.

• Keen attention to detail.

🏝️ Benefits

• Medical and dental insurance.

• 401(k) retirement plans.

• Options for paid time off.

• Flexible work environment.

• ACA Paid Holidays.

• Summer Fridays.

• Personal/Family Care leave.

• Additional leaves of absence.

• Student Debt Forgiveness.

• Pet Insurance.

• Performance-based compensation and recognition.