Apply on Employer Site

ACA Group · 1 day ago

Senior Securities Counsel

Tennessee, United States

Full-time

Onsite

Senior Level, Lead/Staff

8+ years exp

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. The individual in this position is primarily responsible for drafting, reviewing, and negotiating securities contracts, handling regulatory compliance matters, and assisting the Legal Department with various projects.

ConsultingCyber SecurityFinancial Services

Responsibilities

Draft, review, and negotiate contracts related to ACA’s ETF and mutual fund distribution business

Research and provide legal advice to ACA business regarding FINRA regulatory and broker dealer compliance issues

Manage the communication and interaction with ACA clients, service providers, and others regarding contract terms and conditions and other information

Keep abreast of regulatory developments that impact ACA’s regulated entities and update contracts and related policies accordingly

Draft or assist with company regulatory filings

Supervise, train, evaluate, oversee, and provide feedback to junior colleagues

Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives

Qualification

Juris doctor degreeLegal experience in financial servicesFINRA rules knowledgeInvestment Company Act knowledgeContract draftingMicrosoft Office proficiencyNegotiationProfessional integrityCommunication skillsOrganizational skillsProblem-solving skillsAdaptability

Required

Juris doctor degree required, licensed in at least one jurisdiction

Eight years' prior legal experience at a law firm, regulatory agency, or in-house setting; experience in financial services/investment firm or regulatory agency strongly preferred

Solid drafting, review, and negotiation skills

Demonstrated professional integrity and curiosity

Dependable, flexible, and adaptable to new ACA initiatives and changing employee 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

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

Strong knowledge of the FINRA rules and the Investment Company Act of 1940