Managing Director, Broker Dealer Consulting & Compliance

ACA is seeking a dynamic, commercially minded leader to drive the growth and operational excellence of our Broker Dealer Consulting practice. The ideal candidate combines strategic business acumen with deep regulatory expertise, fostering innovation and client-centric solutions in a rapidly evolving market.

Requirements

• 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

Benefits

• Competitive compensation package
• Total Rewards package includes medical and dental coverage and 401(k) plans
• Wide range of paid time off options
• Flexible work environment
• Designated ACA Paid Holidays
• Summer Fridays
• Personal/Family Care
• Leaves of absence when needed to support physical, financial, and emotional well-being
• Student Debt Forgiveness
• Pet Insurance