Consultant, MR-Distributor (Marketing Review)

Job description

The Opportunity: This position ensures the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients. Uses independent judgment and discretion to ensure client materials comply with applicable regulatory requirements. Responsible for working with multiple groups within other departments, clients and regulatory agencies. What you’ll do: - Works independently in the review and approval of investment company and/or private placement material to ensure compliance with regulatory requirements for complex clients - Escalates client issues to Senior Principal Consultant, as appropriate - Works with the team to ensure compliance with FINRA/SEC and department policy for consistency of review - Daily interaction with ACA clients, regulatory contacts, and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues - Monitor compliance and stay current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform - Train client staff, as appropriate - Ensures team is processing all workflow in a timely manner to meet department stated service levels - Mo...