Managing Director, Broker Dealer Consulting, Compliance
ACA Group
full-time
Posted on:
Location Type: Office
Location: Florida • 🇺🇸 United States
Visit company websiteJob Level
Lead
About the role
- Set and execute the strategic vision for the broker dealer consulting practice, identifying new market opportunities and driving revenue growth.
- Develop and implement business development strategies to expand client relationships and increase market share.
- Manage practice profitability, budgeting, and resource accountability to achieve financial targets.
- Oversee delivery of outsourced CCO and FINOP services, ensuring compliance with FINRA regulations.
- Ensure accurate, timely submissions and regulatory approvals for NMAs and CMAs.
- Advise clients and teams on regulatory changes, compliance best practices, and operational improvements.
- Mentor, develop, and inspire high-performing teams across service lines.
Requirements
- 10+ years of progressive leadership experience in broker dealer compliance, operations, risk management, or consulting.
- Demonstrated success in driving business growth and implementing commercial strategies within a consulting or financial services environment.
- Bachelor’s degree in finance, business, or related field required; advanced degree (MBA, JD) preferred.
- Active FINRA Series 7 and Series 24 (or Series 14) required; additional compliance-related certifications preferred.
- Deep knowledge of SEC, FINRA, and other relevant securities regulations.
- Proven experience managing teams and delivering complex service lines.
- Exceptional communication, analytical, and strategic thinking skills.
- Strong client relationship management and business development abilities.
Benefits
- Competitive compensation package
- Medical and dental coverage
- 401(k) plans
- Paid time off options
- Flexible work environment
- ACA Paid Holidays
- Summer Fridays
- Personal/Family Care
- Leaves of absence for well-being support
- Student Debt Forgiveness
- Pet Insurance
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
business development strategiesprofitability managementbudgetingresource accountabilityregulatory complianceoperational improvementsrisk managementconsulting
Soft skills
leadershipmentoringcommunicationanalytical thinkingstrategic thinkingclient relationship management
Certifications
FINRA Series 7FINRA Series 24FINRA Series 14compliance-related certifications