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Compliance Specialist II (Registration)

ACA Group

Durham, North Carolina, United States Full-time June 16, 2026
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Vacancy Description

The Opportunity:  

This position is responsible for processing initial and ongoing registration requirements forregistered representatives and associated persons of affiliated broker-dealers. The position will include serving as the primary interface with registered representatives for registration matters.

What you’ll do:  

  • Oversight of internal employees typically in a Team Leader role

  • Assist candidates with onboarding and understanding of various registration requirements pursuant to FINRA, State and ACA Foreside policy

  • Prepare background information and communicate critical deadlines and instructions

  • Follow established procedures to process FINRA and State registration or termination of registration for representatives and associated persons

  • Assist candidates with regulatory examination and continuing education arrangements

  • Enter critical information into databases and maintain detaile...

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    Vacancy Details

    Location Durham, North Carolina
    Country United States
    Type Full-time
    Category Business Operations Specialists
    Posted June 16, 2026

    About ACA Group

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    ACA Group

    Durham, United States

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