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ACA Group · 3 weeks ago

Managing Director, Broker Dealer Consulting & Compliance

Pittsburgh, PA

Full-time

Hybrid

Senior Level, Lead/Staff

10+ years exp

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. They are seeking a dynamic leader to drive the growth and operational excellence of their Broker Dealer Consulting practice, overseeing service lines and ensuring compliance with FINRA regulations.

ConsultingCyber SecurityFinancial Services

H1B Sponsor Likely

Responsibilities

Set and execute the strategic vision for the broker dealer consulting practice, identifying new market opportunities and driving revenue growth

Develop and implement business development strategies to expand client relationships and increase market share

Engage with sales and marketing efforts, including thought leadership and/or industry events

Manage practice profitability, budgeting, and resource accountability to achieve financial targets

Oversee delivery of outsourced CCO and FINOP services, continuing to ensure that ACA is helping clients meet rigorous compliance with FINRA regulations

Oversee the team responsible for NMAs and CMAs, ensuring accurate, timely submissions and regulatory approvals

Work with and influence staff to maintain and enhance compliance delivery frameworks, Written Supervisory Procedures development, AML programs oversight, and risk control matrices

Advise clients and internal teams on regulatory changes, compliance best practices, and operational improvements

Serve as a subject matter expert on broker dealer regulations, representing ACA in client engagements and regulatory discussions

Mentor, develop, and inspire high-performing teams across service lines

Cultivate long-term client relationships, acting as a trusted advisor to senior leaders at broker dealer firms

Ensure exceptional client service and satisfaction across all engagements

Qualification

Broker dealer complianceRegulatory expertiseBusiness developmentTeam leadershipFINRA Series 7FINRA Series 24SEC regulationsAnalytical skillsClient relationship managementCommunication skillsStrategic thinking

Required

10+ years of progressive leadership experience in broker dealer compliance, operations, risk management, or consulting

Demonstrated success in driving business growth and implementing commercial strategies within a consulting or financial services environment

Bachelor's degree in finance, business, or related field required; advanced degree (MBA, JD) preferred

Active FINRA Series 7 and Series 24 (or Series 14) required; additional compliance-related certifications preferred

Deep knowledge of SEC, FINRA, and other relevant securities regulations

Proven experience managing teams and delivering complex service lines

Exceptional communication, analytical, and strategic thinking skills

Strong client relationship management and business development abilities

Preferred

advanced degree (MBA, JD) preferred

additional compliance-related certifications preferred

Benefits

Medical and dental coverage

401(k) plans

Paid time off options

Designated ACA Paid Holidays

Summer Fridays

Personal/Family Care

Leaves of absence

Student Debt Forgiveness

Pet Insurance

Company

ACA Group

ACA Group is the leading governance, risk, and compliance advisor to the financial services industry.

Founded in 2002

Newyork, Argyll and Bute, GBR

1001-5000 employees

https://acacompliancegroup.com/

H1B Sponsorship

ACA Group has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (1)