Trellis Group
Senior Securities Counsel
Date:
Oct 9, 2025
Location:
Portland, ME, US NC, US TX, US Medford, OR, US Pittsburgh, PA, US PA, US NY, US TN, US New York, NY, US CA, US Chattanooga, TN, US FL, US MA, US
Company:
ACA Group
The Opportunity:
The individual in this position is primarily responsible for drafting, reviewing, and negotiating securities contracts and other contracts, including complex and sophisticated agreements involving 40’ Act Distribution. The individual in this position also is responsible for handling a variety of ‘33 Act, ‘34 Act and ‘40 Act regulatory and broker dealer compliance matters and assisting the Legal Department with a variety of projects across a range of areas and will be integral to the efficient operation of the Legal Department.
What you’ll do:
Draft, review, and negotiate contracts related to ACA’s ETF and mutual fund distribution business
Research and provide legal advice to ACA business regarding FINRA regulatory and broker dealer compliance issues
Manage the communication and interaction with ACA clients, service providers, and others regarding contract terms and conditions and other information
Keep abreast of regulatory developments that impact ACA’s regulated entities and update contracts and related policies accordingly
Draft or assist with company regulatory filings
Supervise, train, evaluate, oversee, and provide feedback to junior colleagues
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
Eight years’ prior legal experience at a law firm, regulatory agency, or in-house setting; experience in financial services/investment firm or regulatory agency strongly preferred
Skills and attributes for success:
Solid drafting, review, and negotiation skills
Demonstrated professional integrity and curiosity
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
Strong knowledge of the FINRA rules and the Investment Company Act of 1940
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 and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.
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.
#J-18808-Ljbffr
Oct 9, 2025
Location:
Portland, ME, US NC, US TX, US Medford, OR, US Pittsburgh, PA, US PA, US NY, US TN, US New York, NY, US CA, US Chattanooga, TN, US FL, US MA, US
Company:
ACA Group
The Opportunity:
The individual in this position is primarily responsible for drafting, reviewing, and negotiating securities contracts and other contracts, including complex and sophisticated agreements involving 40’ Act Distribution. The individual in this position also is responsible for handling a variety of ‘33 Act, ‘34 Act and ‘40 Act regulatory and broker dealer compliance matters and assisting the Legal Department with a variety of projects across a range of areas and will be integral to the efficient operation of the Legal Department.
What you’ll do:
Draft, review, and negotiate contracts related to ACA’s ETF and mutual fund distribution business
Research and provide legal advice to ACA business regarding FINRA regulatory and broker dealer compliance issues
Manage the communication and interaction with ACA clients, service providers, and others regarding contract terms and conditions and other information
Keep abreast of regulatory developments that impact ACA’s regulated entities and update contracts and related policies accordingly
Draft or assist with company regulatory filings
Supervise, train, evaluate, oversee, and provide feedback to junior colleagues
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
Eight years’ prior legal experience at a law firm, regulatory agency, or in-house setting; experience in financial services/investment firm or regulatory agency strongly preferred
Skills and attributes for success:
Solid drafting, review, and negotiation skills
Demonstrated professional integrity and curiosity
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
Strong knowledge of the FINRA rules and the Investment Company Act of 1940
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 and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.
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.
#J-18808-Ljbffr