Assistant Regulatory Counsel

The Opportunity:

The individual in this position is primarily responsible for drafting and providing the first level review of financial intermediary agreements and authorized participant agreements related to ACA Group’s subsidiary broker-dealers, and other related contracts, as well as providing negotiation support to senior attorneys in the ACA Group Legal Department. This position is a three-month temporary contract role with remote flexibility preferably in the East Coast.

What you’ll do:

• Draft and review financial intermediary and authorized participant agreements and provide recommendations to senior attorneys and operations team
• Assist senior attorneys in negotiating agreements
• Communicate and interact with ACA employees and others regarding contract terms and conditions and other information
• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives
  
  

To qualify for the role, you must have:

• Juris doctor degree required, licensed in at least one jurisdiction
• One to three prior years of relevant legal experience at a law firm, regulatory agency, or in-house setting; experience in a broker-dealer, mutual fund, financial services, investment firm, or regulatory agency strongly required
• Experience drafting and reviewing complex agreements with large, sophisticated counterparties, including major financial institutions and top-tier law firms preferred.
  
  

Skills and attributes for success:

• Solid drafting and review skills
• Strong attention to detail
• Demonstrated professional integrity
• 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
  
  

Ideally, you’ll also have:

• Working knowledge of mutual fund and exchange traded fund distribution
  
  

About ACA:

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

What we commit to:

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.