Consultant, MR-Distributor

ACA Group

Consultant ensures regulatory compliance for ACA Group's complex fund and advisory clients. Review, approve marketing materials, and interact with regulatory bodies for compliance.

Posted 6/10/2026full-timeChattanooga • California, Florida, Illinois, Massachusetts, North Carolina, Oregon, Pennsylvania, Tennessee, Texas • 🇺🇸 United StatesMid-LevelSeniorWebsite

ATS Keywords

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Hard Skills

regulatory complianceadvertising reviewinvestment company material reviewprivate placement material reviewclient onboardingworkflow management

Soft Skills

independent judgmentinterpersonal communicationtrainingproblem-solvingcollaboration

Certifications & Qualifications

FINRA Series 7FINRA Series 24

Industry Keywords

SEC regulationsFINRA regulationscompliance experiencefinance degreeadvertising rules

About the role

Key responsibilities & impact

Ensure the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients
Use independent judgment to ensure client materials comply with regulatory requirements
Work with multiple groups within other departments, clients, and regulatory agencies
Review and approve investment company and/or private placement material to ensure compliance
Escalate client issues to Senior Principal Consultant
Interact with ACA clients, regulatory contacts, and staff concerning advertising review matters
Monitor compliance and stay current on regulations
Train client staff as appropriate
Ensure team processes workflow in a timely manner to meet service levels
Participate in client onboarding meetings

Requirements

What you’ll need

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
FINRA Series 7 and Series 24 are required.

Benefits

Comp & perks

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
Other leaves of absence
Student Debt Forgiveness
Pet Insurance