Consultant, MR-Distributor

ACA Group

. Independently review and approve investment company and/or private placement materials for complex clients .

Posted 9/17/2026full-timeRemote • Colorado • United StatesMid-LevelSenior💰 $90,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance with SEC and FINRA regulations, with a strong focus on investment company and private placement materials. Proven ability to lead client interactions, manage workflows, and provide training while ensuring adherence to internal and external standards.

Highest-signal resume keywords

FINRA Series 7FINRA Series 24Compliance ExperienceProject Management SkillsAnalytical Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Investment ComplianceAdvertising ReviewRegulatory InterpretationClient OnboardingWorkflow Monitoring

Soft Skills

Organizational SkillsProblem-Solving SkillsCommunication SkillsLeadership QualitiesAttention to Detail

Certifications & Qualifications

Bachelor’s Degree in Finance

Industry Keywords

FINRASECInvestment ProductsCompliance StandardsAdvertising Rules

About the role

Key responsibilities & impact

Independently review and approve investment company and/or private placement materials for complex clients
Escalate client issues to the Senior Principal Consultant as appropriate
Ensure compliance with FINRA/SEC and department policies for consistent reviews
Interact daily with ACA clients, regulatory contacts, and staff regarding advertising review matters
Provide advice and guidance to identify and resolve compliance issues
Monitor compliance and remain current on FINRA, SEC, and internal standards
Train client staff as appropriate
Ensure team workflow is processed timely to meet department service levels
Monitor daily workflow and address team issues as applicable
Participate in client onboarding meetings for newly assigned clients

Requirements

What you’ll need

Bachelor’s degree, preferably with an emphasis in finance
Minimum 3 years’ related compliance experience
Thorough understanding of SEC, FINRA, and other complex advertising rules governing public and private investment products
FINRA Series 7 and Series 24 are required
Ability to interpret rules and regulations and communicate them to others
Strong organizational skills and capacity to multi-task
Excellent analytical, reasoning, and problem-solving skills
Leadership qualities for establishing role as point-of-contact for clients
Excellent written and verbal communication skills
Excellent project management skills
Ability to prioritize and meet multiple deadlines
Attention to detail

Benefits

Comp & perks

Medical and dental coverage
401(k) plans
Paid time off options
Flexible work environment
ACA Paid Holidays
Summer Fridays
Personal/Family Care leave
Other leaves of absence
Student Debt Forgiveness
Pet Insurance
Performance-based compensation and recognition