Senior Financial Analyst, BD

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.

The Opportunity

The Senior Financial Analyst – Broker Dealer role offers the opportunity to lead ACA’s broker-dealer financial reporting function while supporting Foreside Distribution clients across accounting, regulatory, and operational processes. This position plays a critical role in ensuring financial accuracy, regulatory compliance, and high-quality client service in a fast-paced, collaborative environment.

What You’ll Do

• Manage and review month-end journal entries and account reconciliations to ensure financial accuracy

• Oversee monthly bank reconciliations and intercompany activity, resolving variances timely

• Prepare, review, and analyze financial statements and regulatory reports in accordance with GAAP and FINRA/SEC requirements

• Prepare and monitor broker-dealer net capital calculations

• Lead preparation, review, and submission of quarterly FOCUS filings

• Manage FINRA registration and representative renewal processes

• Support external audits by preparing documentation and responding to auditor inquiries

• Oversee calculation and reconciliation of 12b-1 fees, transaction-based compensation, and other revenue streams

• Prepare and deliver monthly and quarterly board and management reporting

• Serve as a primary point of contact for client reporting requests and escalated inquiries

To Qualify for the Role, You Will Have

• Bachelor’s degree in Accounting or Finance

• Minimum of three (3) years of accounting experience

• Minimum of one (1) year of broker-dealer experience

• Strong working knowledge of GAAP and broker-dealer regulatory requirements

• Proficiency in Microsoft Office applications and Adobe Acrobat

Ideally, You’ll Also Have

• Experience supporting financial reporting for investment advisors or affiliated financial services organizations

• Hands-on experience with FINRA filings, including FOCUS reports and net capital calculations

• Experience working directly with external auditors and regulatory bodies

• Exposure to client-facing financial reporting or operational support

Skills and Attributes for Success

• Ability to exercise discretion and independent judgment on matters of significance

• Demonstrated professional integrity and ethical judgment

• Strong financial analysis and analytical problem-solving skills

• Advanced understanding of accounting systems and financial reporting processes

• Ability to work independently while managing multiple priorities in a fast-paced environment

• Detail-oriented with strong organizational and time-management skills

• Effective written and verbal communication skills

• Ability to build and maintain effective working relationships with internal teams and clients

• Dependable, adaptable, and responsive to changing business and client needs

• Highly motivated, goal-oriented, and proactive in professional development

• Commitment to ACA’s high-quality standards and client service focus

What working at ACA offers:

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical coverage fully funded by ACA for employees and their family as well as access to Maternity & Fertility and Wellness programs. ACA also provides Personal Accident Insurance, Group Term Life Insurance, Employee Discount programs and Employee Resource Groups. You’ll be granted time off for designated ACA Paid Holidays, Privilege Leave, Casual/Sick Leave, and other leaves of absence to support your physical, financial, and emotional well-being.

What we commit to:

ACA is firmly committed to a policy of non-discrimination, 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, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected status in accordance with applicable law.