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The individual in this position is responsible for maintaining the general management of the ARC office as well as overseeing and conducting analyses of client books and records, including electronic communications and/or marketing materials, for potential regulatory deficiencies, and for drafting reports to clients summarizing findings from the reviews.
Summary of Responsibilities:
• Assist in the overall management of the ARC office, including developing procedures and efficiencies for the ARC review team
• Assist in the strategic growth of the ARC office by identifying business development initiatives for the ARC
• Train the ARC Review team on regulations, policies, and procedures in one-on-one and small group settings
• Assist ARC Review teams in overcoming technical challenges associated with clients’ search software
• Manage the electronic communication and/or marketing review process at the team level
• Assist with leading client scoping calls to plan electronic communication and/or marketing reviews
• Analyze clients’ electronic communications and or marketing materials for potential regulatory issues, interpreting complicated and nuanced communications as necessary
• Draft reports summarizing ACA’s work and findings
• Provide additional service offerings, such as preparing regulatory filings
• Analyze clients’ electronic communications and/or marketing materials as escalated by reviewers, and assist them in interpreting complicated and nuanced issues and identifying potential conflicts of interest, regulatory issues, and/or compliance deficiencies
• Assist in leading calls with clients to describe ACA’s work and findings
• Supervise, train, evaluate, oversee, and provide feedback to junior colleagues
• Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives
Summary of Minimum Qualifications and Knowledge Requirements:
• Bachelor’s Degree required – concentration or previous work experience in business, accounting, finance, criminal justice, law, or economics required
• Solid working knowledge of the Investment Advisers Act of 1940 and rules thereunder, and other laws, regulations, and regulatory positions applicable to SEC-registered investment advisers
• Solid leadership skills, with the ability to train small groups or individuals
• Ability to exercise discretion and make independent judgments on matters of significance
• Demonstrates professional integrity
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
• Ability to work well in a fast paced, small team environment
• Ability to work independently, multi-task and prioritize effectively
• Ability to establish and maintain effective working relationships with colleagues and clients
• Highly motivated and goal oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks
• Dedicated to upholding ACA’s high quality standards and customer service focus
• Strong organizational and problem-solving skills with attention to detail
• Strong oral and written communication skills
• Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet
• Willing to undertake minimal travel
• Available for client work and/or travel Monday through Friday on a general basis, including occasional nights and weekends
Compensation, which will be competitive and commensurate with experience, will include a base salary and may include a discretionary bonus. ACA offers a comprehensive benefits package.
Interested candidates should apply below:
ACA is an equal opportunity employer and does not unlawfully discriminate against current or prospective employees on the basis of race, color, religion, sex, age, national origin, pregnancy, familial status, marital status, sexual orientation, gender identity, disability, veteran status, citizenship, ancestry, genetic information, or any other characteristics prohibited by law.
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